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The Series 66 exam — the NASAA Uniform Combined State Law Examination — is a North American Securities Administrators Association (NASAA) exam administered by FINRA. The exam consists of 100 scored questions and 10 unscored questions. Candidates have 150 minutes to complete the exam.
Aug 4, 2023 · The Series 66 is a professional licensing exam for investment advisor representatives (IARs). Those who want to become IARs or securities agents must pass both the Series 66 and Series 7...
Apr 27, 2024 · Key Takeaways. An individual who wants to become an investment professional must first pass a number of exams regulated by the Financial Industry Regulation Authority. Those who wish to be IARs...
Jun 17, 2024 · The Series 66 license is a state-specific license that allows license holders to act as financial advisors and transaction coordinators for securities-based products. It is regulated by NASAA, which provides the steps to becoming licensed.
Apr 2, 2024 · The Series 66 license is required to work as an investment advisor in the United States. To obtain it, you must pass a rigorous exam covering methods of delivering investment advice and other topics. Below, we’ll tackle what the exam is, what exactly it covers and how you can best prepare.
Jul 17, 2023 · How to Obtain a Series 66 License. The Series 66 Exam is administered through FINRA and is a multiple-choice exam that has 110 questions (100 scored and 10 unscored). You’re given 150 minutes (2 1/2 hours) to complete the exam and the cost of the exam is $177.
Mar 18, 2019 · The Series 66 license, known as the Uniform Combined State Law Exam, is a NASAA exam administered by FINRA. Learn how to get the Series 66 license in this article from Kaplan.
Order entry personnel are not required to register under Series 55 as equity traders based solely on the fact that they enter orders into routing systems, which send the orders to clearing firms for execution. Also, not all persons to whom equity traders report need to be Series 55 registered.
Feb 13, 2024 · With a Series 66 license, financial professionals gain the authority to legally operate as an investment adviser representative (IRA). This license allows them to engage in activities such as managing client portfolios, providing investment recommendations, executing trades, and offering financial planning services.
Sep 12, 2023 · The Series 66 license, also known as the Uniform Combined State Law Examination, is a securities exam administered by the Financial Industry Regulatory Authority (FINRA). This license qualifies individuals to provide both investment advice and effect securities transactions on behalf of clients.
