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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).
Series 66 – Uniform Combined State Law Exam (Combined 63 and 65)* Series 72 – Government Securities – Limited Representative Series 79 – Investment Banking Exam
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.
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.
In the United States, a financial adviser carries a Series 7 and Series 66 or Series 65 qualification examination. According to the U.S. Financial Industry Regulatory Authority (FINRA), qualification designations and compliance issues must be reported for public view. [18]
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 ...
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