Note: All FINRA (NASD) exams and
study programs are continually being updated.
You should take your exam within 120 days of ordering your study materials!
The NASD and the NYSE merged their regulatory units as of July 30, 2007. The new
name of the organization is FINRA (Financial Industry Regulatory Authority).
Registered Representative Level
-
Series 3 National Commodity Futures Exam
( & ForEx)
The National Futures Association (NFA) and the various domestic commodity
futures exchanges require this exam for anyone who is going to act as an
Associated Person, Commodity Trading Adviser, Commodity Pool Operator,
Introducing Broker, or Futures Commission Merchant. The NFA is also
requiring those who trade ForEx (foreign exchange) to pass the Series 3 exam.
Click Here to Order Series 3
Products
-
Series 6 Investment Company and Variable Contracts Products Representative
This FINRA (NASD) exam is required for people who will only offer investment
company products such as mutual funds and closed-end funds and for those who
will sell variable annuity contracts and variable life insurance.
Click
Here to Order Series 6 Products
-
Series 7 General Securities Registered Representative
This exam is a New York Stock Exchange (NYSE) generated exam --accepted by FINRA (NASD)-- for anyone employed by a broker/dealer who will trade all types of securities. This is the most comprehensive of the registered representative exams.
Click
Here to Order Series 7 Products
-
Series 11 Assistant Representative - Order Processing
The "Assistant Representative-Order Processing" category of registration
applies to persons associated with a FINRA (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.
Click
Here to Order Series 11 Products
This test is required for those who wish to receive trailing commissions on commodity limited partnerships, commodity pools, or managed accounts guided by Commodity Trading Advisers. It is also meant for those supervising these same limited activities. Individuals who take this exam in lieu of the Series #3 cannot open individual futures trading accounts.
The Series 7 exam is a prerequisite.
Click
Here to Order Series 31 Products
-
Series 32 Limited Futures Examination - United Kingdom
The National Futures Association has amended Registration Rule 401 to allow a General Representative or a Futures and Options Representative, who has taken and passed the exams of the Securities and Futures Authority in the United Kingdom, to meet NFA requirements by passing a shortened version of the U.S. commodity futures exam.
Click
Here to Order Series 32 Products
Individual states sometimes require this exam as a condition of registration as a registered representative.
Click
Here to Order Series 63 Products
-
Series 65 Uniform Registered Investment Adviser Examination
As modified on January 1, 2000 by NASAA, this exam is required by most states for individuals who wish to act as investment advisers. Some states require the principals of the
RIA to score greater than a 70%. This exam is waived by some states if the applicant has the
CFP (Certified Financial Planner), the ChFC (Chartered Financial Consultant), APFS (Accredited Personal Financial Specialist),
CFA (Chartered Financial Analyst), the CIC (Chartered Investment Counselor), or other designations or items as ruled by the (state) administrator.
Click
Here to Order Series 65 Products
-
Series 66 Uniform Combined Registered Investment Adviser - State Laws
The #66 consists of questions covering the Series 63 and a portion of the Series 65 that is not redundant to the Series 7 exam. The Series 66 is only valid with the Series 7 exam. Even though the test is essentially two areas, a passing score of 71% based on the total number of questions is required.
Click
Here to Order Series 66 Products
Back to Top
Registered Principal Level
The options exchanges, NYSE and FINRA (NASD) require this test for people who will supervise the day-to-day activities of representatives who conduct business for the public in the options markets.
Series 7, 42 or 62 is a prerequisite.
Click
Here to Order Series 4 Products
Any person who manages or supervises the daily activities of a NYSE-member broker/dealer's sales staff is required to take this examination by FINRA(NASD), NYSE, the various options exchanges, and the MSRB (Municipal Securities Board).
Click
Here to Order Series 9 and Series 10 Products
The Series 14 exam qualifies an individual to supervise overall compliance at New York Stock Exchange member firms.
Click
Here to Order Series 14 Products
Any person who manages or supervises representatives in investment banking, training, solicitation, as well as the general conduct of business operations is required by FINRA(NASD) to sit for this exam.
Click Here to Order Series 14 Products
-
Series 26
Investment Company and Variable Contracts Products Registered Principal
This is a limited principal registration for those who will manage or supervise representatives whose activities are limited to the offer, sale, or purchase of mutual funds, closed end funds, or the sale of variable annuity contracts. Some states require this exam for investment adviser registration.
Click Here to Order Series
26 Products
Any person involved in the financial and operational management of a FINRA(NASD) member firm (including the chief financial officer) must pass this exam. The tasks of this individual include preparing and attesting to the accuracy of the Securities and Exchange Commission's FOCUS Reports.
Click Here to Order Series
27 Products
The Series 30 is required for those who act as a branch office manager for a commodity futures firm registered with the NFA. Individuals whose sponsor is a registered broker-dealer may, in lieu of the Series 30 exam, provide proof that they are qualified to act as a branch office manager or designated supervisor under the rules of the New York Stock Exchange or FINRA.
The Series 3 exam is a prerequisite.
Click Here to Order Series
30 Products
-
Series 51 Municipal Fund Securities Limited Principal
This limited principal exam is required by the MSRB for any person who manages representatives who handle Section 529 college savings plans. 529 Plans are deemed municipal securities and, therefore, are under the jurisdiction of the MSRB.
Click Here to Order Series
51 Products
This limited principal exam is required by the MSRB for any person who manages representatives who handle municipal securities only.
Click Here to Order Series 53 Products
-
Series 55 Limited Representative - Equity Trader
Every individual who functions as an "Equity Trader", as defined by FINRA(NASD) must pass this exam. The exam is supposed to assure that traders have more consistent understanding of securities industry rules and practices.
Click Here to
Order Series 55 Products
Back to Top |
Return Customers!
