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	<title>Securities Exam Preparation Inc</title>
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	<description>SEP is a consulting organization specializing in self-study test preparation for FINRA, NASAA, and  NFA exams.</description>
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		<title>Once I pass the Series 65 test am I ready to conduct business?</title>
		<link>http://www.securitiesexam.com/journal/archives/23</link>
		<comments>http://www.securitiesexam.com/journal/archives/23#comments</comments>
		<pubDate>Thu, 19 Jun 2008 05:54:53 +0000</pubDate>
		<dc:creator>Securities Exam</dc:creator>
				<category><![CDATA[Exams]]></category>
		<category><![CDATA[Series 65]]></category>

		<guid isPermaLink="false">http://www.securitiesexam.com/journal/index.php/once-i-pass-the-series-65-test-am-i-ready-to-conduct-business/</guid>
		<description><![CDATA[     No.  Just passing the Series 65 exam is only one of the steps in becoming registered as an Investment Adviser Representative.  Each state has its own requirements and they all must be met before you can solicit.  The test center will give you a copy of your scores.  Your record of passing the exam [...]]]></description>
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		<title>Are there any continuing education requirements after I pass the Series 65 exam?</title>
		<link>http://www.securitiesexam.com/journal/archives/22</link>
		<comments>http://www.securitiesexam.com/journal/archives/22#comments</comments>
		<pubDate>Tue, 17 Jun 2008 10:53:11 +0000</pubDate>
		<dc:creator>Securities Exam</dc:creator>
				<category><![CDATA[Exams]]></category>
		<category><![CDATA[Series 65]]></category>

		<guid isPermaLink="false">http://www.securitiesexam.com/journal/index.php/are-there-any-continuing-education-requirements-after-i-pass-the-series-65-exam/</guid>
		<description><![CDATA[  No.  At the present time there are no continuing education requirements for those who have passed the Series 65 exam.]]></description>
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		<item>
		<title>How do you set up an Introducing Broker for Commodity Futures?</title>
		<link>http://www.securitiesexam.com/journal/archives/5</link>
		<comments>http://www.securitiesexam.com/journal/archives/5#comments</comments>
		<pubDate>Fri, 30 Nov 2007 02:32:55 +0000</pubDate>
		<dc:creator>Securities Exam</dc:creator>
				<category><![CDATA[Consulting]]></category>
		<category><![CDATA[Exams]]></category>
		<category><![CDATA[Professional Designations]]></category>

		<guid isPermaLink="false">http://www.securitiesexam.com/journal/index.php/how-do-you-set-up-an-iintroducing-broker-for-commodity-futures/</guid>
		<description><![CDATA[To become a Futures Introducing Broker you: Set up a clearing arrangement with a Futures Commission Merchant (“FCM”) Pass the Series 3 exam Join the NFA as an Introducing Broker The NFA requires an IB to have a net worth of $45,000.00. If the proposed IB doesn&#8217;t have the capital necessary, it may establish a [...]]]></description>
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		<slash:comments>0</slash:comments>
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		<item>
		<title>If I failed the Series 66 can I immediately sit for the Series 65 exam?</title>
		<link>http://www.securitiesexam.com/journal/archives/27</link>
		<comments>http://www.securitiesexam.com/journal/archives/27#comments</comments>
		<pubDate>Mon, 11 Apr 2011 20:56:18 +0000</pubDate>
		<dc:creator>Securities Exam</dc:creator>
				<category><![CDATA[Exams]]></category>
		<category><![CDATA[Series 65]]></category>
		<category><![CDATA[Series 66]]></category>

		<guid isPermaLink="false">http://www.securitiesexam.com/journal/index.php/if-i-failed-the-series-66-can-i-immediately-sit-for-the-series-65-exam/</guid>
		<description><![CDATA[  You can submit a U-10 form for the Series 65 exam and sit for it as soon as you’re application is processed and your 120 day window is established. The waiting period applies only to the specific exam you did not pass.]]></description>
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		<item>
		<title>What is the Series 11 exam?</title>
		<link>http://www.securitiesexam.com/journal/archives/9</link>
		<comments>http://www.securitiesexam.com/journal/archives/9#comments</comments>
		<pubDate>Sun, 02 Dec 2007 23:39:21 +0000</pubDate>
		<dc:creator>Securities Exam</dc:creator>
				<category><![CDATA[Exams]]></category>
		<category><![CDATA[Series 11]]></category>

		<guid isPermaLink="false">http://www.securitiesexam.com/journal/index.php/what-is-the-series-11-exam/</guid>
		<description><![CDATA[     The &#8220;Series 11 Assistant Representative -Order Processing&#8221; category of NASD registration applies to  persons associated with an NASD member firm who accept telephone or other communications from the public for the purposes of providing current securities quotations and accepting unsolicited customer orders for submission to the normal order execution operations of the member.    [...]]]></description>
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		<slash:comments>0</slash:comments>
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		<item>
		<title>How do I become a Chartered Financial Analyst (CFA)?</title>
		<link>http://www.securitiesexam.com/journal/archives/7</link>
		<comments>http://www.securitiesexam.com/journal/archives/7#comments</comments>
		<pubDate>Sat, 01 Dec 2007 23:00:12 +0000</pubDate>
		<dc:creator>Securities Exam</dc:creator>
				<category><![CDATA[Consulting]]></category>
		<category><![CDATA[Exams]]></category>
		<category><![CDATA[Professional Designations]]></category>

		<guid isPermaLink="false">http://www.securitiesexam.com/journal/index.php/how-do-i-become-a-chartered-financial-analyst-cfa/</guid>
		<description><![CDATA[   The Chartered Financial Analyst registration is a globally recognized standard for measuring the competence and integrity of financial analysts. The curriculum develops and reinforces the knowledge of investment principles. Three levels of examination (one test/level each year for three years) measure the candidate&#8217;s knowledge. The exam is given the first Saturday and Sunday of [...]]]></description>
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		<slash:comments>0</slash:comments>
		</item>
		<item>
		<title>Where do I take the Series 65 exam?</title>
		<link>http://www.securitiesexam.com/journal/archives/21</link>
		<comments>http://www.securitiesexam.com/journal/archives/21#comments</comments>
		<pubDate>Sun, 15 Jun 2008 19:20:28 +0000</pubDate>
		<dc:creator>Securities Exam</dc:creator>
				<category><![CDATA[Exams]]></category>
		<category><![CDATA[Series 65]]></category>

		<guid isPermaLink="false">http://www.securitiesexam.com/journal/index.php/where-do-i-take-the-series-65-exam/</guid>
		<description><![CDATA[     Go to our Links page and click on “domestic and international test sites”.  That will take you to FINRA’s link showing all Pearson-Vue and Prometric testing centers.  There will be an 800 number that you can call to make your appointment and it will show you the address of the nearest center to you.]]></description>
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		<slash:comments>0</slash:comments>
		</item>
		<item>
		<title>Do I need a sponsor in order to sit for the 65  exam?</title>
		<link>http://www.securitiesexam.com/journal/archives/39</link>
		<comments>http://www.securitiesexam.com/journal/archives/39#comments</comments>
		<pubDate>Sun, 08 Jun 2008 15:06:30 +0000</pubDate>
		<dc:creator>Securities Exam</dc:creator>
				<category><![CDATA[Exams]]></category>

		<guid isPermaLink="false">http://www.securitiesexam.com/journal/index.php/do-i-need-a-sponsor-in-order-to-sit-for-the-65-exam/</guid>
		<description><![CDATA[     You do not need a sponsor to sit for the Series 65 exam.  Individual applicants (those not affiliating with an existing firm) can submit a U-10 form.  Just fill in “Not Applicable” where the form requests a sponsor.]]></description>
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		<slash:comments>0</slash:comments>
		</item>
		<item>
		<title>How Do I Become A Stockbroker?</title>
		<link>http://www.securitiesexam.com/journal/archives/6</link>
		<comments>http://www.securitiesexam.com/journal/archives/6#comments</comments>
		<pubDate>Fri, 30 Nov 2007 10:52:45 +0000</pubDate>
		<dc:creator>Securities Exam</dc:creator>
				<category><![CDATA[Consulting]]></category>
		<category><![CDATA[Exams]]></category>
		<category><![CDATA[Professional Designations]]></category>

		<guid isPermaLink="false">http://www.securitiesexam.com/journal/index.php/how-do-i-become-a-stockbroker/</guid>
		<description><![CDATA[     Stockbroker, financial consultant, financial advisor, securities broker &#8212; these are all general terms used by individuals and brokerage firms alike, to refer to a regulatory term of &#8220;registered representative&#8221; &#8212; or shortened to &#8220;registered rep&#8221;. A registered rep is an agent of a broker/dealer who is paid commissions on the trades placed through the [...]]]></description>
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		<slash:comments>0</slash:comments>
		</item>
		<item>
		<title>What is a Registered Investment Adviser and how do you become one?</title>
		<link>http://www.securitiesexam.com/journal/archives/1</link>
		<comments>http://www.securitiesexam.com/journal/archives/1#comments</comments>
		<pubDate>Sun, 25 Nov 2007 00:42:33 +0000</pubDate>
		<dc:creator>Securities Exam</dc:creator>
				<category><![CDATA[Consulting]]></category>
		<category><![CDATA[Exams]]></category>
		<category><![CDATA[Professional Designations]]></category>
		<category><![CDATA[Series 65]]></category>
		<category><![CDATA[Series 66]]></category>

		<guid isPermaLink="false">http://securitiesexam.com/info/?p=1</guid>
		<description><![CDATA[     A Registered Investment Adviser (&#8220;RIA&#8221;) is an entity who, for compensation (in any form), engages in the business of advising others, either directly or indirectly, of the value of securities or of the advisability of investing in securities. They receive a management fees and do not receive commissions (&#8220;RIAs receive fees, stockbrokers receive commissions&#8221;).   [...]]]></description>
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		<slash:comments>0</slash:comments>
		</item>
		<item>
		<title>Do I get a certificate when I pass the Series 65 Exam?</title>
		<link>http://www.securitiesexam.com/journal/archives/20</link>
		<comments>http://www.securitiesexam.com/journal/archives/20#comments</comments>
		<pubDate>Thu, 12 Jun 2008 16:45:15 +0000</pubDate>
		<dc:creator>Securities Exam</dc:creator>
				<category><![CDATA[Exams]]></category>
		<category><![CDATA[Series 65]]></category>

		<guid isPermaLink="false">http://www.securitiesexam.com/journal/index.php/do-i-get-a-certificate-when-i-pass-the-series-65-exam/</guid>
		<description><![CDATA[      No.   Other than the print out of your scores that you are given at the exam site, there is no other notification or certificate.     When you take an exam, your score is permanently recorded in the Central Registration Depository (CRD) maintained by NASD. Employers and regulators have access to the records]]></description>
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		<slash:comments>0</slash:comments>
		</item>
		<item>
		<title>2010 Passing Score Change for Series 66 Exam</title>
		<link>http://www.securitiesexam.com/journal/archives/42</link>
		<comments>http://www.securitiesexam.com/journal/archives/42#comments</comments>
		<pubDate>Wed, 02 Mar 2011 07:30:46 +0000</pubDate>
		<dc:creator>Securities Exam</dc:creator>
				<category><![CDATA[Exams]]></category>
		<category><![CDATA[Series 66]]></category>

		<guid isPermaLink="false">http://www.securitiesexam.com/journal/?p=42</guid>
		<description><![CDATA[Effective January 1, 2010 the passing score for the Series 66 exam is 75%. The number of questions hasn&#8217;t changed but the weighting has!  Here&#8217;s an approximate breakdown: &#160; Analysis/Management 20 Investment Vehicles 15 Retirement/Savings Plans 15 Federal Laws 20 Uniform Securities Act 30 &#160; &#160; &#160; &#160; This is a big change from the former [...]]]></description>
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		<slash:comments>0</slash:comments>
		</item>
		<item>
		<title>Why can’t I just sit for the Series 7 and Series 66 exams instead of the Series 65 exam?</title>
		<link>http://www.securitiesexam.com/journal/archives/29</link>
		<comments>http://www.securitiesexam.com/journal/archives/29#comments</comments>
		<pubDate>Tue, 19 Aug 2008 14:02:00 +0000</pubDate>
		<dc:creator>Securities Exam</dc:creator>
				<category><![CDATA[Consulting]]></category>
		<category><![CDATA[Exams]]></category>
		<category><![CDATA[Professional Designations]]></category>
		<category><![CDATA[Series 65]]></category>
		<category><![CDATA[Series 66]]></category>
		<category><![CDATA[Series 7]]></category>

		<guid isPermaLink="false">http://www.securitiesexam.com/journal/index.php/why-can%e2%80%99t-i-just-sit-for-the-series-7-and-series-66-exams-instead-of-the-series-65-exam/</guid>
		<description><![CDATA[  The reason you sit for the Series 65 exam is to charge fees for your services; if you sit for the 7 and 66 exams your intent is to charge commissions of the securities your clients buy and sell through you (and your firm) in addition (or in lieu of) fees for your services. [...]]]></description>
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		<slash:comments>0</slash:comments>
		</item>
		<item>
		<title>What is the Series 24 exam?</title>
		<link>http://www.securitiesexam.com/journal/archives/11</link>
		<comments>http://www.securitiesexam.com/journal/archives/11#comments</comments>
		<pubDate>Wed, 05 Dec 2007 00:31:19 +0000</pubDate>
		<dc:creator>Securities Exam</dc:creator>
				<category><![CDATA[Exams]]></category>
		<category><![CDATA[Series 24]]></category>
		<category><![CDATA[Series 7]]></category>

		<guid isPermaLink="false">http://www.securitiesexam.com/journal/index.php/what-is-the-series-24-exam/</guid>
		<description><![CDATA[The Series 24 Exam (General Securities Registered Principal) is 3 1/2 hours long and has 150 test questions. 70% of the total is passing. The fee for sitting for the Series 24 exam is $95.00 and application for U-4 is used. The Series 24 exam is required by FINRA for any person who manages or [...]]]></description>
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		<slash:comments>0</slash:comments>
		</item>
		<item>
		<title>Are there any waivers for the Series 65 exam?</title>
		<link>http://www.securitiesexam.com/journal/archives/24</link>
		<comments>http://www.securitiesexam.com/journal/archives/24#comments</comments>
		<pubDate>Wed, 02 Jul 2008 01:48:05 +0000</pubDate>
		<dc:creator>Securities Exam</dc:creator>
				<category><![CDATA[Consulting]]></category>
		<category><![CDATA[Exams]]></category>
		<category><![CDATA[Professional Designations]]></category>
		<category><![CDATA[Series 65]]></category>

		<guid isPermaLink="false">http://www.securitiesexam.com/journal/index.php/are-there-any-waivers-for-the-series-65-exam/</guid>
		<description><![CDATA[  Form U-4 has a box that can be checked that indicates the certification that you hold. The CRD computers then check databases of all active certificants prepared by the certifying organizations.   Most states will waive the Series 65 exam if you hold one or more of the following professional registrations: CFP - Chartered Financial [...]]]></description>
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		<slash:comments>0</slash:comments>
		</item>
		<item>
		<title>Can I get old copies of the test questions?</title>
		<link>http://www.securitiesexam.com/journal/archives/41</link>
		<comments>http://www.securitiesexam.com/journal/archives/41#comments</comments>
		<pubDate>Mon, 09 Jun 2008 14:48:38 +0000</pubDate>
		<dc:creator>Securities Exam</dc:creator>
				<category><![CDATA[Exams]]></category>
		<category><![CDATA[Series 65]]></category>

		<guid isPermaLink="false">http://www.securitiesexam.com/journal/index.php/can-i-get-old-copies-of-the-test-questions/</guid>
		<description><![CDATA[  Series 65 NASAA exam questions are copyright protected and are not disclosed to the public.]]></description>
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		<slash:comments>0</slash:comments>
		</item>
		<item>
		<title>How do I become a Certified Financial Planner?</title>
		<link>http://www.securitiesexam.com/journal/archives/8</link>
		<comments>http://www.securitiesexam.com/journal/archives/8#comments</comments>
		<pubDate>Sun, 02 Dec 2007 23:32:52 +0000</pubDate>
		<dc:creator>Securities Exam</dc:creator>
				<category><![CDATA[Consulting]]></category>
		<category><![CDATA[Exams]]></category>
		<category><![CDATA[Professional Designations]]></category>

		<guid isPermaLink="false">http://www.securitiesexam.com/journal/index.php/how-do-i-become-a-certified-financial-planner/</guid>
		<description><![CDATA[   A CERTIFIED FINANCIAL PLANNER™ Professional helps individuals determine whether and how they can meet their life goals through the management of financial resources. To do this a CERTIFIED FINANCIAL PLANNER™ Professional analyzes where the individual is financially, where they want to go, and how do they get there.    In most cases a CERTIFIED [...]]]></description>
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		<slash:comments>0</slash:comments>
		</item>
		<item>
		<title>Are there prerequisites to the Series 65 exam?</title>
		<link>http://www.securitiesexam.com/journal/archives/40</link>
		<comments>http://www.securitiesexam.com/journal/archives/40#comments</comments>
		<pubDate>Sun, 08 Jun 2008 15:22:05 +0000</pubDate>
		<dc:creator>Securities Exam</dc:creator>
				<category><![CDATA[Exams]]></category>
		<category><![CDATA[Series 65]]></category>

		<guid isPermaLink="false">http://www.securitiesexam.com/journal/index.php/are-there-prerequisites-to-the-series-65-exam/</guid>
		<description><![CDATA[     No.  There are no prerequisites in order to sit for the Series 65 exam.]]></description>
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		<slash:comments>0</slash:comments>
		</item>
		<item>
		<title>Who updates the Series 65 exam, and how often is that done?</title>
		<link>http://www.securitiesexam.com/journal/archives/19</link>
		<comments>http://www.securitiesexam.com/journal/archives/19#comments</comments>
		<pubDate>Thu, 12 Jun 2008 05:11:54 +0000</pubDate>
		<dc:creator>Securities Exam</dc:creator>
				<category><![CDATA[Exams]]></category>
		<category><![CDATA[Series 65]]></category>

		<guid isPermaLink="false">http://www.securitiesexam.com/journal/index.php/who-updates-the-series-65-exam-and-how-often-is-that-done/</guid>
		<description><![CDATA[            Usually every year NASAA reviews the data bank and creates new and revised questions based on changes in law, etc.   The questions are then entered into the database on a trial basis. The Series 65 has ten extra questions added to your exam but they do not count towards the final score.   NASAA is [...]]]></description>
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		<slash:comments>0</slash:comments>
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		<item>
		<title>I work in a state that doesn’t license representatives of an investment adviser &#8212; will my Series 65 exam “expire”?</title>
		<link>http://www.securitiesexam.com/journal/archives/31</link>
		<comments>http://www.securitiesexam.com/journal/archives/31#comments</comments>
		<pubDate>Sun, 29 May 2011 17:27:29 +0000</pubDate>
		<dc:creator>Securities Exam</dc:creator>
				<category><![CDATA[Exams]]></category>
		<category><![CDATA[Series 65]]></category>

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		<description><![CDATA[  Yes. After two years of not being licensed in a state requiring the Series 65, your exam will be shown on the CRD record as “expired.”   If you’ve been working as an investment adviser representative in a state that doesn’t require registration, most states have discretion to waive the requirement to retake the [...]]]></description>
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