Exam Materials

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 SeriesRepresentative TypeDescriptionClick for Details and Purchase
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Page size:
 37 items in 1 pages
Series 3RepresentativeAn Associated Person is an individual who solicits orders, customers or customer funds (or who supervises persons so engaged) on behalf of a Futures Commission Merchant (FCM), Introducing Broker (IB), Commodity Trading Advisor (CTA) or Commodity Pool Operator (CPO). Details/Buy
Series 4PrincipalThis examination is required of an individual who will function as a registered options principal, compliance registered options principal, or senior registered options principal. The Series 4 tests the individual's knowledge of options trading, exchange rules, and regulations applicable to the trading of options contracts, as well as the rules of the Options Clearing Corporation Details/Buy
Series 6Representative This examination qualifies an individual who will function as a representative for the solicitation, purchase, and/or sale of redeemable securities of companies registered pursuant to the Investment Company Act of 1940; securities of closed-end companies registered pursuant to the Investment Company Act of 1940 during the period of original distribution only; and variable contracts and insurance premium funding programs and other contracts issued by an insurance company. Details/Buy
Series 7RepresentativeThis registration qualifies a candidate for the solicitation, purchase, and/or sale of all securities products, including corporate securities, municipal securities, municipal fund securities, options, direct participation programs, investment company products, and variable contracts. Details/Buy
Series 9PrincipalThis registration is appropriate for individuals required to register as principals to supervise sales activities in corporate, municipal, and options securities, investment company products, variable contracts, and direct participation programs. In addition to branch office managers, regional and national sales managers may also register in this capacity. The Series 9 contains “Options” questions. The Series 10 contains questions concerning FINRA, NYSE, MSRB, and SEC rules. Details/Buy
Series 10PrincipalFor persons who are required to be registered as principals and whose responsibilities are limited to sales supervision as branch office managers in member firms. Topics include: sales and account supervision, regulation of options, municipal securities regulation, compliance, and record keeping. Details/Buy
Series 14PrincipalThis examination is required by the New York Stock Exchange. The Series 14 Examination is a qualification examination intended to insure that the individuals designated as having day-to-day compliance responsibilities for their respective firms or who supervise ten or more people engaged in compliance activities have the knowledge necessary to carry out their job responsibilities. Details/Buy
Series 16PrincipalThis exam is administered by the NYSE and taken by those who have the responsibility of preparing or approving research reports. Candidates who have passed any part of the CFA examination are eligible to have the securities analysis portion waived. This examination is required of an individual who will function as a Supervisory Analyst. This is a NYSE requirement and contains two parts; Part I covers regulations and Part II covers Securities Analysis. Details/Buy
Series 17RepresentativeAssociated persons registered and in good standing with the Financial Services Authority (FSA) in the United Kingdom would be eligible to take an abbreviated form of the Series 7 examination. Details/Buy
Series 22RepresentativeThis qualifies an individual who will function as a representative for the solicitation, purchase, and/or sale of programs that provide for flow-through tax consequences, such as oil and gas programs, real estate programs, and S corporation offerings. Details/Buy
Series 23PrincipalThe Series 23 is designed to test a candidate’s knowledge of the rules and statutory provisions applicable to the management of a general securities broker/dealer. The Series 23 examination program allows persons associated with FINRA members who are registered as General Securities Sales Supervisors and who are seeking to register and qualify as General Securities Principals an alternative to completing the Series 24. The Series 23 examination covers material from the Series 24 examination not otherwise covered under the Series 9/10 examination. Details/Buy
Series 24PrincipalThe Series 23 is designed to test a candidate’s knowledge of the rules and statutory provisions applicable to the management of a general securities broker/dealer. The Series 23 examination program allows persons associated with FINRA members who are registered as General Securities Sales Supervisors and who are seeking to register and qualify as General Securities Principals an alternative to completing the Series 24. The Series 23 examination covers material from the Series 24 examination not otherwise covered under the Series 9/10 examination. Details/Buy
Series 26PrincipalThis examination qualifies individuals required to register as general securities principals in order to manage or supervise the member's investment banking or securities business for corporate securities, direct participation programs, and investment company products/variable contracts. The Series 24 does not qualify an individual to function as a: • Registered Options Principal, • General Securities Sales Supervisor for Options and Municipal Securities, • Municipal Securities Principal, • Municipal Fund Securities Principal, • Financial and Operations Principal, • Introducing Broker/Dealer Financial and Operations Principal Details/Buy
Series 27PrincipalThe Series 27 is designed to test a candidate's knowledge and understanding of financial responsibility rules and recordkeeping requirements. Details/Buy
Series 30PrincipalThis examination is for persons who are associated with an NFA member firm and who will act in the capacity of a branch manager. In order to conduct business as a branch manager, the candidate must also have a National Commodities Futures (Series 3) registration. Details/Buy
Series 31RepresentativeFor registered representatives employed by a securities broker-dealer whose only involvement in the futures industry will be to solicit interest in commodity pools. Details/Buy
Series 32RepresentativeFor individuals registered with the Financial Services Authority (FSA) in the United Kingdom as general representatives or futures and options representatives, who have passed their FSA's Futures and Options Examination. This examination only covers NFA regulations. Details/Buy
Series 37RepresentativeAssociated persons registered and in good standing with the Financial Services Authority (FSA) in one of the Canadian securities regulatory organizations, would be eligible to take an abbreviated form of the Series 7 examination. Details/Buy
Series 38RepresentativeAssociated persons registered and in good standing with the Financial Services Authority (FSA) in one of the Canadian securities regulatory organizations, would be eligible to take an abbreviated form of the Series 7 examination. Details/Buy
Series 50RepresentativeThe examination was developed by the MSRB as part of the fulfillment of the Dodd-Frank Wall Street Reform and Consumer Protection Act, that requires all municipal advisor representatives and principals to demonstrate that they have the knowledge and skills necessary to perform the responsibilities of a municipal advisor. The content areas include SEC and MSRB Rules regarding Municipal Advisors, Municipal Finance, Issuer’s Credit Analysis and Due Diligence, Structuring, Pricing and Executing Municipal Debt Products, and Requirements Relating to the Issuance of Municipal Debt. Details/Buy
Series 51PrincipalThis examination is designed to test a candidate’s knowledge of the rules and statutory provisions applicable specifically to municipal fund securities and the supervision of the activities of registered representatives effecting municipal fund securities transactions (e.g. 529 College Savings Plans, Local Government Investment Pools (LGIPs). Details/Buy
Series 52RepresentativeIn addition to municipal securities, municipal fund securities (e.g., 529 College Savings Plans, Local Government Investment Pools (LGIPs)) and municipal markets, this examination covers U.S. government, federal agency, and other financial instruments, economic activity, government policy, the behavior of interest rates, and applicable federal securities laws and regulations. Details/Buy
Series 53PrincipalThis examination is designed to test a candidate's knowledge of the rules and statutory provisions applicable to a municipal securities broker or dealer and to the supervision of the activities of municipal securities representatives. This exam also enables the principal to supervise municipal fund securities (e.g., 529 College Savings Plans, Local Government Details/Buy
Series 57RepresentativeThis examination assesses the competency of an entry-level Securities Trader to perform their job. This exam measures the degree to which each candidate possesses the knowledge, skills and abilities needed to perform the critical functions of a Securities Trader, including market overview and products, engaging in professional conduct and adhering to regulatory requirements, trading activities, and maintaining books and records and trade reporting. Details/Buy
Series 62RepresentativeThis examination qualifies an individual as a representative for the sale of public offerings and/or private placements of corporate stocks, corporate bonds, rights, warrants, real estate investment trusts, collateralized mortgage obligations, and securities of closed-end companies registered pursuant to the Investment Company Act of 1940, repos and certificates of accrual on corporate securities; securities traders; mergers and acquisitions; venture capital; corporate financing; ETFs, and hedge funds. Details/Buy
Series 63RepresentativeThe examination is designed to qualify candidates as securities agents. The examination covers the principles of state securities regulation reflected in the Uniform Securities Act (with the amendments adopted by NASAA and rules prohibiting dishonest and unethical business practices). The examination is intended to provide a basis for state securities administrators to determine an applicant's knowledge and understanding of state law and regulations. Details/Buy
Series 65RepresentativeThe examination is designed to qualify candidates as investment adviser representatives. The exam covers topics that have been determined to be necessary to understand in order to provide investment advice to clients. Details/Buy
Series 66RepresentativeThe examination is designed to qualify candidates as both securities agents and investment adviser representatives. The exam covers topics that have been determined to be necessary to provide investment advice and effect securities transactions for clients. Details/Buy
Series 72Representative Registered representatives in this limited category of registration are permitted to transact a member's business in Treasury securities, government agency securities, and mortgage-backed securities Details/Buy
Series 79RepresentativeThis qualifies an individual who will perform investment banking activities in the following two areas. 1. Advising on or facilitating debt or equity securities offerings through a private placement or a public offering, including but not limited to origination, underwriting, marketing, structuring, syndication, and pricing of such securities and managing the allocation and stabilization activities of such offerings, or 2. Advising on or facilitating mergers and acquisitions, tender offers, financial restructurings, asset sales, divestitures or other corporate reorganizations or business combination transactions, including but not limited to rendering a fairness, solvency or similar opinion. Details/Buy
Series 86RepresentativeSeries 86 tests fundamental analysis and valuation of equity securities. This exam is appropriate for individuals who produce written or electronic communications that analyze equity securities or individual companies/industry sectors, and provide reasonably sufficient information upon which to base investment decisions. Details/Buy
Series 87RepresentativeSeries 87 covers FINRA and New York Stock Exchange rules, the Securities Act of 1933 and the Securities Exchange Act of 1934. This exam is appropriate for individuals who produce written or electronic communications that analyze equity securities or individual companies/industry sectors, and provide reasonably sufficient information upon which to base investment decisions. Details/Buy
Series 99RepresentativeThis examination qualifies an individual to function as an Operations Professional. The purpose of the Operations Professional Qualification Examination is to help certain operations personnel (“covered persons” as defined by FINRA Rule 1230), to understand the functioning of various departments within a broker-dealer as well as their individual professional responsibilities. The examination requires candidates to posess an understanding of both Federal and SRO securities regulation as well as basic product knowledge. Operations Professional candidates will also be assessed on their ability to both identify and properly escalate various regulatory red flag scenarios. Details/Buy
Regulatory Prep Manual S101RepresentativeThe S101 Regulatory Prep Online Study Manual is used for all registrations except Series 6, Series 99, and Principal/Supervisor registrations. The S101 Regulatory Prep Online Study Manual and Practice Review cover the following topics: Communications with the Public, Suitability, Handling Customer Accounts, Trades and Settlement Practices, and New and Secondary Offerings and Corporate Finance. (*As of 2016, the S101 outline has been reorganized and the format has changed. Students now have the ability to self-select one of the modules. For more information, please visit www.FINRA.org) Details/Buy
Regulatory Prep Manual S106RepresentativeThe S106 Regulatory Prep Online Study Manual is used for the Series 6 registration. The S106 Regulatory Prep Online Study Guide covers the following topics: Communications with the Public, Suitability, Handling Client Accounts, Trades and Settlement Practices, and Product Knowledge. (The S106 Regulatory Prep Online Study Manual gives reps the opportunity to become familiar with concepts included on the S106 Outline and does not include practice questions.) Details/Buy
Regulatory Prep Manual S201PrincipalThe S201 Regulatory Prep Online Study Manual is used for the Principal/Supervisor registration. The S201 Regulatory Prep Online Study Manual covers the following topics: Supervision and Control, Handling Customer Accounts, Trades and Settlement Practices, New and Secondary Offerings and Corporate Finance and Product Knowledge and Related Supervisory Concerns. (The S201 Regulatory Prep Online Study Manual gives reps the opportunity to become familiar with concepts included on the S201 Outline and does not include practice questions.) Details/Buy
Regulatory Prep Manual S901RepresentativeThe S901 Regulatory Prep Online Study Manual is used for the Series 99 registration. The S901 Regulatory Prep Online Study Manual covers the following topics: Client Confidentiality and Responsibilities of Registered Persons, Operations Workflow, Product and Market Knowledge, and Personalized Cases: New Accounts, Trading and Settlement, Operations Generalist, and Treasury, Custody, and Control. (The S901 Regulatory Prep Online Study Manual gives reps the opportunity to become familiar with concepts included on the S901 Outline and does not include practice questions.) Details/Buy
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