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  2. Uniform Combined State Law Exam - Wikipedia

    en.wikipedia.org/wiki/Uniform_Combined_State_Law...

    The Uniform Combined State Law Examination also called the Series 66 exam is designed to qualify candidates as both securities agents and investment adviser representatives in the United States. It was developed by North American Securities Administrators Association (NASAA) and operated by the Financial Industry Regulatory Authority (FINRA).

  3. List of securities examinations - Wikipedia

    en.wikipedia.org/wiki/List_of_securities...

    Series 66 – Uniform Combined State Law Exam (Combined 63 and 65)* Series 72 – Government Securities – Limited Representative Series 79 – Investment Banking Exam

  4. Texas State Securities Board - Wikipedia

    en.wikipedia.org/wiki/Texas_State_Securities_Board

    The Texas State Securities Board is a Texas state agency headquartered in Austin, Texas.. The board enforces the Texas Securities Act (TEX. REV. CIV. STAT. ANN. art. 581–1) and maintains programs for enforcement, registration of securities, registration of securities dealers, investment advisers, and agents, and inspections of registered firms.

  5. Do Financial Advisors Need a License? - AOL

    www.aol.com/finance/financial-advisors-license...

    License requirements to work as a financial advisor vary widely. Generally, depending on your practice, you will most likely need to take either the Series 6 or Series 7 exams as well as the ...

  6. Get breaking Business News and the latest corporate happenings from AOL. From analysts' forecasts to crude oil updates to everything impacting the stock market, it can all be found here.

  7. Uniform Investment Adviser Law Exam - Wikipedia

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

    Each Series 65, Uniform Investment Adviser Law Examination, contains a total of 140 questions. One hundred thirty (130) of the questions count toward whether the candidate passes or fails the Series 65 exam. The other 10 questions are pretest and could appear in any position within the exam but do not count towards the final grade.

  8. Texas Stock Exchange files to operate nationally, eyes ... - AOL

    www.aol.com/news/texas-stock-exchange-files...

    The Texas Stock Exchange (TXSE) is eyeing a 2026 launch after submitting paperwork to operate as a national securities exchange, its parent company said on Friday. The company hopes the U.S ...

  9. Series 7 exam - Wikipedia

    en.wikipedia.org/wiki/Series_7_Exam

    The Series 7 is a three-hour, forty-five-minute exam. [1] It is held in one four-hour session. There are 125 questions on the test. Candidates have to score at least 72% to pass. The SIE Exam and the Series 7 Exam are co-requisite exams. [9] Average study time is between 80 and 150 hours depending on current financial knowledge. [10]

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