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2. Series 6 exam - Wikipedia

   en.wikipedia.org/wiki/Series_6_Exam

   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 ...

3. List of securities examinations - Wikipedia

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

   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 – Registered Options Representative Exam; Series 44 – NYSE Arca Options Market Maker Exam; Series 47 ...

4. Selling away - Wikipedia

   en.wikipedia.org/wiki/Selling_away

   Brokers in the U.S. may be "associated" with one or more Brokerage firms and must obtain licenses by passing standardized Financial Industry Regulatory Authority (FINRA) exams such as the Series 6 or Series 7 exam. See List of Securities Examinations for types of securities licenses in the U.S. More specifically, selling away describes the ...

5. 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).

6. 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). In order to take the exam, an individual must be ...

7. Category:Professional certification in finance - Wikipedia

   en.wikipedia.org/wiki/Category:Professional...

   Certificate in Mortgage Advice and Practice; ... Series 6 exam; Series 7 exam; Series 14 exam; U. Uniform Combined State Law Exam; Uniform Securities Agent State Law Exam