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2. Series 7 exam - Wikipedia

   en.wikipedia.org/wiki/Series_7_Exam

   The corequisite is the Securities Industry Essentials (SIE) exam, a change FINRA enacted in 2018. [6] In October 2018, the 250-question Series 7 exam was replaced by the current top-off exam that is now taken in conjunction with the SIE exam. (A correlative change was made to the Series 6 exam.).

3. List of securities examinations - Wikipedia

   en.wikipedia.org/.../List_of_securities_examinations

   Series 62 – Corporate Securities – Limited Representative Exam (Discontinued) Series 63 – Uniform Securities Agent State Law Exam *. Series 65 – Uniform Investment Adviser Law Exam *. Series 66 – Uniform Combined State Law Exam (Combined 63 and 65)*. Series 72 – Government Securities – Limited Representative.

4. Financial Industry Regulatory Authority - Wikipedia

   en.wikipedia.org/wiki/Financial_Industry...

   The Financial Industry Regulatory Authority is the largest independent regulator for all securities firms doing business in the United States. FINRA's mission is to protect investors by making sure the United States securities industry operates fairly and honestly. As of October 2023, FINRA oversaw 3,394 brokerage firms, 149,887 branch offices ...

5. The Series 9/10 Exam and License - AOL

   www.aol.com/news/series-9-10-exam-license...

   The Series 9 and Series 10 exams assess the attributes a general securities sales supervisor needs for their job. They are administered by the Financial Industry Regulatory Authority (FINRA). They ...

6. Series 6 exam - Wikipedia

   en.wikipedia.org/wiki/Series_6_Exam

   Series 6 exam. In the United States, the investment company products/variable life contracts representative exam, is commonly referred to as the Series 6 exam. Individuals passing this multiple choice exam are licensed to sell a limited set of securities products: Mutual funds. Closed-end funds on the initial offering only.

7. Uniform Investment Adviser Law Exam - Wikipedia

   en.wikipedia.org/wiki/Uniform_Investment_Adviser...

   The exam covers topics necessary to provide investment advice to clients. [1] The Uniform Investment Adviser Law Examination was developed by the North American Securities Administrators Association (NASAA) and is administered by the Financial Industry Regulatory Authority (FINRA). Each Series 65, Uniform Investment Adviser Law Examination ...