Search results
To become registered, securities professionals must pass qualifying exams administered by FINRA to demonstrate their competence in the particular securities activities in which they will work. An individual must pass the exams prior to engaging in those areas of the business.
This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices.The SIE is open to ...
The Series 7 exam — the General Securities Representative Qualification Examination (GS) — assesses the competency of an entry-level registered representative to perform their job as a general securities representative.
May 3, 2023 · The Series 65 is an exam and securities license required by most US states for individuals to act as investment advisers.
Apr 12, 2024 · To earn your Series 6, 7, 22, 57, 79, 82, and 99 license, you’ll need to pass the SIE exam and take the FINRA “top-off” exam for each license type. FINRA says that the exams are "corequisites," but that does not mean you have to take both at the same time.
Sep 27, 2022 · What Is the Series 65? Designed by the North American Securities Administrators Association (NASAA) and administered by the Financial Industry Regulatory Authority (FINRA), the Series 65 is an...
Mar 26, 2008 · Individuals who want to enter the securities industry to sell any type of securities must take the Series 7 examination—formally known as the General Securities Representative Examination. Individuals who pass the Series 7 are eligible to register with all self-regulatory organizations to trade.
Jun 4, 2023 · The qualification tests for several occupations in the financial services industry, formerly known as the Series exams, have been streamlined into one initial exam called the Securities...
The Series 57 exam — the Securities Trader Representative Exam — assesses the competency of an entry-level registered representative to perform their job as a securities trader representative.
Taking a securities industry qualification exam through Prometric now comes with options. Review below to learn more about the offerings that Prometric extends to support candidates and firms. Scheduling Your Exam: You now have two options to schedule your exam: Option 1: Schedule your exam in a Prometric test center.
