Securities Exam Preparation, Inc., established in 1972

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We are a consulting organization specializing in self-study test preparation for FINRA, NASAA, and NFA exams.
 

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  • FINRA - The Financial Industry Regulatory Authority (FINRA), originally established as the National Association of Securities Dealers, Inc. ("NASD"), is the largest non-governmental regulator for all securities firms doing business in the United States. FINRA was created in July 2007 through the consolidation of NASD and the member regulation, enforcement and arbitration functions of the New York Stock Exchange. 
  • NASD - National Association of Securities Dealers - now FINRA
  • NYSE - New York Stock Exchange
  • NASAA - North American Securities Administrators Association (NASAA) is the oldest international organization devoted to investor protection.
  • NFA - National Futures Association (NFA) is the industrywide, self-regulatory organization for the U.S. futures industry.
  • SEP - Securities Exam Preparation, Inc. is a consulting organization specializing in self-study programs for FINRA(NASD) test preparation -- and in coordinating registration services for Investment Advisors, Broker Dealers, Commodity Trading Advisers, and Introducing Brokers.
 
 
 
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Securities Exam Preparation, Inc., established in 1972, is a consulting organization specializing in
self-study test preparation for  FINRA, NASAA, and  NFA exams -- and in registration services for
Investment Advisers, Broker Dealers, Commodity Trading Advisers, and Introducing Brokers.

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