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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 38 – Canada Securities Representative Exam - No Options; Series 42 – Registered Options Representative Exam; Series 44 – NYSE Arca Options Market Maker Exam; Series 47 – Japanese Module of the General Securities Exam; Series 50 – Municipal Advisor Representative Exam; Series 52 – Municipal Securities Representative Exam ...
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.
Continue reading ->The post Series 65: Definition and Exam Information appeared first on SmartAsset Blog. The Series 65, also known as the Uniform Investment Adviser Law Examination, is a test and ...
Passing the Series 86 exam — also known as the Research Analyst Qualification exam — is necessary for anyone who wants to work as research analyst for a broker-dealer member of the Financial ...
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 ...
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