Exam Materials

1
Page size:
 28 items in 1 pages
 SeriesRepresentative TypeDescriptionClick for Details and Purchase
1
Page size:
 28 items in 1 pages
SEIRepresentativeThe Securities Industry Essentials (SIE) Exam assess a candidate’s basic knowledge of securities industry topics fundamental to working in the industry. It is a prerequisite to working within the financial services industry. An individual is not required to be an employee of a sponsoring firm to take the exam. The exam does not allow an individual to perform a function and serves as one part in a combination of exams including the Series 6, 7, 52, 57, 79, 86, 87 or 99. Details/Buy
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 6 Top OffRepresentativeThe Series 6 is a FINRA exam required for individuals who sell investment companies, variable annuities and life insurance policies. Individuals are required to pass both the Series 6 Top-Off as well as the SIE qualification exam in order to register as a representative. Details/Buy
Series 7 Top OffRepresentativeSeries 7 is a FINRA exam required for individuals who may sell a broad range of securities including corporate securities, municipal securities, municipal fund securities, options, direct participation programs, investment company products, and variable contracts. Individuals are required to pass both the Series 7 Top-Off Exam and the SIE qualification exam in order to register as a representative. 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 24PrincipalSeries 24 is a FINRA exam required for individuals who will manage or supervise investment banking or securities business for corporate securities, direct participation programs, and investment company products/variable contracts. 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 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 52 Top OffRepresentativeSeries 52 is a Municipal Securities Rulemaking Board exam required for individuals engaged in the sale or underwriting of municipal securities or municipal fund securities. Individuals are required to pass both the Series 52 top-off Exam and the SIE qualification exam in order to register as a representative 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 57 Top OffRepresentativeSeries 57 is a FINRA exam required for individuals who will act as either an Equity Trader or Proprietary Trader. Individuals are required to pass both the Series 57 top-off Exam and the SIE qualification exam in order to register as a representative. 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. Please note this exam is being eliminated by FINRA soon, please see their website for further details. 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 72RepresentativeRegistered 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 Please note this exam is being eliminated by FINRA soon, please see their website for further details. Details/Buy
Series 79 Top OffRepresentativeSeries 79 is a FINRA exam required for individuals who are limited to investment banking functions concerning the underwriting of corporate securities. Individuals are required to pass both the Series 79 Top-Off Exam and the SIE qualification exam in order to register as a representative. 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 99 Top OffRepresentativeSeries 99 is a FINRA exam required for individuals identified as "covered persons" responsible for certain back-office or operational functions. Individuals are required to pass both the Series 99 top-off Exam and the SIE qualification exam in order to register as an operations professional. Details/Buy
  • NoFilter
  • Contains
  • DoesNotContain
  • StartsWith
  • EndsWith
  • EqualTo
  • NotEqualTo
  • GreaterThan
  • LessThan
  • GreaterThanOrEqualTo
  • LessThanOrEqualTo
  • Between
  • NotBetween
  • IsEmpty
  • NotIsEmpty
  • IsNull
  • NotIsNull
  • Custom