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Title. Effective Dates. Securities Industry Essentials (SIE) Exam. 10/2018 – present. Series 3 – National Commodities Futures Exam. 1966 – present. Series 4 – Registered Options Principal Exam. 04/1975 – present. Series 6 – Investment Company and Variable Contracts Products Representative Exam.
Candidates are encouraged to schedule their exam session as far in advance as possible to secure their desired exam date. Refer to the information to learn more about how to schedule an appointment to take exams online and at a local test center.
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What is the Series 62 exam?
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Series 14 – Compliance Officer Exam: 3 hours: 110: $350: Series 16 – Supervisory Analysts Exam: Part 1: 1 hour and 30 minutes Part 2: 2 hours: Part 1: 50 Part 2: 50: $245: Series 23 – General Securities Principal – Sales Supervisor Module Exam: 2 hours and 30 minutes: 100: $105: Series 24 – General Securities Principal Exam: 3 hours ...
- What Is The Series 62 Exam?
- How The Series 62 Exam Works
- Real World Example of The Series 62 Exam
The Series 62 exam, also known as the Corporate Securities Qualification Examination, was an examination administered by the Financial Industry Regulatory Authority (FINRA). Prior to its termination by FINRA, passing the Series 62 exam was a requirement for those who wish to become professional traders of corporate securities, such as stocks and bo...
The purpose of the Series 62 exam was to protect the public by ensuring that new professionals meet a required standard of professional knowledge and competency. Specifically, the exam was focused on the roles and responsibilities involved in selling corporate securities. Although the most well-known types of corporate securities are stocks and bon...
Prior to its discontinuation, the Series 62 exam consisted of 115 multiple choice questions taken over 150 minutes. Candidates had to obtain a score of at least 70% in order to pass, and had to be sponsored by a registered broker-dealer firmin order to write the test. The Series 62 exam was structured in four sections. In the first and second secti...
- Jason Fernando
Mar 28, 2024 · The Series 62 exam, known formally as the Corporate Securities Qualification Examination, was a regulatory requirement for individuals seeking to trade corporate securities such as stocks and bonds. This comprehensive exam was designed to assess candidates’ knowledge and understanding of the roles, responsibilities, and regulations governing ...
Dec 15, 2019 · The Series 62 exam was often compared to the still-available Series 7 exam. Both licenses allow their holders to trade a wide range of securities. A Series 7 license is required for all ...
The Series 62 license qualifies you 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 ...
