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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/wiki/List_of_securities...

   Series 47 – Japanese Module of the General Securities Exam; Series 50 – Municipal Advisor Representative Exam; Series 52 – Municipal Securities Representative Exam; Series 55 – Equity Trader – Limited Representative Exam; Series 56 – Proprietary Trader Qualification Exam; Series 57 – Securities Trader Qualification Exam [7] Series ...

4. Uniform Investment Adviser Law Exam - Wikipedia

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

   Uniform Investment Adviser Law Examination, also called the Series 65 exam, is a test taken by individuals in the United States who seek to become licensed investment adviser representatives. The exam covers topics necessary to provide investment advice to clients.

5. What Is the Series 7 License? - AOL

   www.aol.com/news/series-7-license-191945596.html

   The Series 7 license allows professionals to sell securities in the U.S. To obtain it, they must pass a rigorous exam covering various financial topics. Financial Industry Regulatory Authority ...

6. 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).

7. What Is the Series 82 Exam and License? - AOL

   www.aol.com/news/series-82-exam-license...

   The Series 82 gives its holder the authority to conduct private securities transactions, among other activities. The exam is also known as the Private Securities Offerings Representative Exam.

8. 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).

9. A Guide to the Series 99 License and Exam - AOL

   www.aol.com/news/guide-series-99-license-exam...

   Continue reading ->The post A Guide to the Series 99 License and Exam appeared first on SmartAsset Blog. They bring clients aboard, receive and deliver funds and assets, collect payments, maintain ...