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If a written request has been submitted by the securities administrator’s office in the state in which the individual is seeking to be licensed is submitted, a waiver may be given.

• Recently Written

  • Are there prerequisites to the Series 65 exam?
  • How do I become a Certified Financial Planner?
  • How do you set up an Introducing Broker for Commodity Futures?
  • Who updates the Series 65 exam, and how often is that done?
  • If I failed the Series 66 can I immediately sit for the Series 65 exam?
  • What is the Series 11 exam?
  • Do I need a sponsor in order to sit for the 65 exam?
  • Why can’t I just sit for the Series 7 and Series 66 exams instead of the Series 65 exam?
  • How do I become a Chartered Financial Analyst (CFA)?
  • I work in a state that doesn’t license representatives of an investment adviser — will my Series 65 exam “expire”?