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  2. List of securities examinations - Wikipedia

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

    Series 22 – Direct Participation (Limited partnerships) Exam; Series 30 – NFA Branch Manager Exam; Series 31 – Futures – Managed Funds Exam* Series 32 – Limited Futures Exam - Regulations; Series 37 – Canada Securities Representative Exam - With Options; Series 38 – Canada Securities Representative Exam - No Options; Series 42 ...

  3. National Futures Association - Wikipedia

    en.wikipedia.org/wiki/National_Futures_Association

    NFA is headquartered in Chicago and maintains an office in New York City. NFA is a non-profit, independent regulatory organization. NFA does not operate any markets and is not a trade association. NFA is financed from membership dues and assessment fees, and membership is mandatory for many market participants. [1]

  4. Uniform Investment Adviser Law Exam - Wikipedia

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

    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. To pass the Series 65 Exam, candidates must correctly answer at least 92 of the 130 scored questions.

  5. Uniform Securities Agent State Law Exam - Wikipedia

    en.wikipedia.org/wiki/Uniform_Securities_Agent...

    Applicants must attain scores of 72% in order to pass. Credit is only given for correct answers. Of the 65 questions on the exam, 60 will count toward the final score. 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.

  6. Uniform Combined State Law Exam - Wikipedia

    en.wikipedia.org/.../Uniform_Combined_State_Law_Exam

    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).

  7. Commodity broker - Wikipedia

    en.wikipedia.org/wiki/Commodity_broker

    A commodity broker is a firm or an individual who executes orders to buy or sell commodity contracts on behalf of the clients and charges them a commission.A firm or individual who trades for his own account is called a trader.

  8. Actuarial credentialing and exams - Wikipedia

    en.wikipedia.org/wiki/Actuarial_credentialing...

    Part of exam 3 (2003) 2013: Exams LC and ST — 3: Statistics and Actuarial Models: 2003: Exam 3 (2000) 2007: Exams 3L and 3F (2007) — 1* Mathematical Foundations of Actuarial Science: 2000: Education system redesign 2005: Exam 1 (2005) 1: 2* Interest Theory, Economics and Finance: 2000: Education system redesign 2005: Exam 2 (2005) and VEE ...

  9. Special Enrollment Examination - Wikipedia

    en.wikipedia.org/wiki/Special_Enrollment_Examination

    All of the questions on the examination are weighted equally, and the IRS grades the test on a bell curve. The test results are converted to a scale from 40-130, with 105 representing a passing score. Exam results can be seen right after completing the exam. Each exam is weighted by section according to the following: [3] Part 1 – Individuals

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