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Series 5 – Interest Rate Options Exams Series 6 – Investment Company and Variable Contracts Exam (Mutual Funds Broker/Variable Annuities) Series 7 – General Securities Representative Exam (Stockbroker)
The remaining 5 questions are being pre-tested for possible inclusion in the operational question bank; these questions may appear anywhere in the exam and are not identified. The examination covers the principles of state securities regulation reflected in the Uniform Securities Act (with the amendments adopted by NASAA and rules prohibiting ...
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]
A Series 57 license allows brokers to trade equities and convertible debt securities in the U.S. To obtain one, you must pass the Series 57 exam. This test covers topics like equity trading ...
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 ...
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).
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; Unit investment trusts; Variable ...
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 ...