Securities Exam Preparation Inc - Securities Exam Preparation. Publishing and Professional Information Services . Assistance is also provided for registration of For.
Start preparing today with a Series 65 study guide that includes Series 65 practice test questions. Raise your Series 65 Test score. By Mometrix. The Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. Kettering National Seminars has been providing exam preparation seminars and self-study courses for the TMC (CRT, RRT), PFT, NPS, CCT, and RTR for over 35 years.
Ex (foreign exchange) merchants and IBs. Proficiency exams, administered by FINRA through Prometric and Pearson VUE Testing Centers, are assigned numbers and are classified into registered representatives, registered principals, and state- required exams. FINRA Registered Representative exams include: Series 5, Series 6, Series 7, Series 1. Series 2. 2, Series 5. Series 5. 5, Series 6. Series 8. 2. The New York Stock Exchange (NYSE) Series 7 is often referred to as “the stockbroker exam”.
If you are looking to get your Series 7 license you should check out our Smart 7 on the Web program for your Series 7 test preparation. FINRA Registered Principal exams consist of: Series 4, Series 2. Series 2. 4, Series 2.
Series 7 Exam Training. Classes for the series 7, series 6, series 63, series 65 and other study guides and services. Pass your securities exams the first time. This exam is administered by the Financial Industry Regulatory Authority (FINRA) and provides an individual with the qualifications necessary in order to make. Best Resource Online Series 7 Exam Prep. Find everything you need to pass your series 7 exam. Series 7 Practice Exam is a free website for Series 7 Exam prep. We have hundreds of free practice questions to help you prepare for this challenging test. Home page for Series 7 Specialists. Free FINRA exam prep videos for the Series 6, Series 7, Series 63 and Series 65 and 66.
Series 2. 7, Series 2. Series 5. 1, and Series 5.
The Series 9/1. 0 and Series 1. NYSE’s Branch Manager and Compliance Official exams, respectively.
NASAA state registration and Investment Advisor tests include: Series 6. Series 6. 6 and Series 6. For those looking for a complete on- line Series 6.
Series 6. 6 study program you should check out our ” Smart 6. Smart 6. 6 ” on the web programs.
Note: “Smart” programs are also Mac compatible. Note: Investment Advisors are under the jurisdiction of the SEC and the various State Securities Administrators, not FINRA. Futures industry tests include: Series 3, Series 3. Series 3. 1 and Series 3. The futures branch manager exam is the Series 3. Those who trade For.
Ex (foreign exchange) and are under jurisdiction of the NFA may be required to sit for the Series 3 exam in addition to the Series 3. Commodity floor brokers who trade their own account generally have to sit for special exams created for them by the exchange they trade on.
You might want to contact the CME Group. Registration services are coordinated through Securities Exam’s affiliates for Registered Investment Advisors (RIA), Broker- Dealers (B/D), Commodity Trading Advisors (CTA), and Hedge Funds.
Assistance is also provided for futures firms for the development of Anti- Money Laundering (“AML”) programs and futures ethics training programs that need to be FCM specific. Through Securities Exam’s test preparation programs, and with the use of specialized affiliates such as Pass Perfect and Center for Futures Education, exam study materials come in an easy- to- read, specially designed, self- study format. Besides book format, the Series 7, 6. You can access via Windows or Mac systems from any computer! The book- style study programs can be supplemented with practice tests and exams via the web or in some cases a CD. All study programs are specifically designed for a self- study approach. Special review seminars — both on site and web- tutorial — for your firm can be arranged.
Have your compliance officer contact us for pricing. Registered Representative Level. Registered Principal Level.
Series 7 Exam - General Securities Representative Exam (GS)The Series 7 exam – the General Securities Representative Qualification Examination (GS) – assesses the competency of an entry- level registered representative to perform his or her job as a general securities representative. The exam measures the degree to which each candidate possesses the knowledge needed to perform the critical functions of a general securities representative, including sales of corporate securities, municipal securities, investment company securities, variable annuities, direct participation programs, options and government securities. The exam consists of 2.
Candidates are given six hours to complete the exam and it is conducted in two three- hour sessions with 1. The passing score is 7.
Please see NASD Rule 1. General Securities Representative for more information. Content Outline. The Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. It includes sample questions to acquaint a candidate with the types of multiple- choice questions on the exam. The outline is comprised of the five main job functions of a Series 7 representative: Function 1—Seeks business for the broker- dealer through customers and potential customers. Function 2—Evaluates customers’ other security holdings, financial situation and needs, financial status, tax status, and investment objective.
Function 3—Opens accounts, transfers assets and maintains appropriate account records. Function 4—Provides customers with information on investments and makes suitable recommendations. Function 5—Obtains and verifies customers’ purchases and sales instructions, enters orders, and follows up Download: Series 7 Content Outline. Eligibility. The Series 7 does not have a prerequisite exam.
Please see Register a New Candidate for more information on the registration process. Permitted Activities. A candidate who passes the Series 7 exam is qualified for the solicitation, purchase and/or sale of all securities products, including corporate securities, municipal fund securities, options, direct participation programs, investment company products and variable contracts. Covered activities and products include: Public offerings and/or private placements of corporate securities (stocks and bonds)Rights. Warrants. Mutual funds. Money market funds.
Unit investment trusts (UITs)Exchange traded funds (ETFs)Real estate investment trusts (REITs)Options on mortgage- backed securities. Government securities.
Repos and certificates of accrual on government securities. Direct participation programs. Securities traders. Venture capital. Sale of municipal securities. Hedge funds. Taking the Exam.
The table below lists the allocation of exam questions for each main job function of a general securities representative. Major Job Functions.
Percentage of Test Questions. Number of Test Questions(F1) Seeks business for the broker- dealer through customers and potential customers. F2) Evaluates customers’ other security holdings, financial situation and needs, financial status, tax status, and investment objectives.
F3) Open accounts, transfer assets, and maintains appropriate account records. F4) Provides customers with information on investments and makes suitable recommendations. F5) Obtains and maintains customer’s purchase and sales instructions, enters orders, and follows up.
TOTAL1. 00%2. 50. See On the Day of Your Exam for more information. Key Questions. 1.
If I pass the Series 7, will I be able to trade municipal securities? If an individual took and passed the Series 7 prior to November 7, 2. If an individual took and passed the Series 7 on or after November 7, 2.
Does Series 7 serve as a pre- requisite to the Series 5. Municipal Securities Principal Exam)? If an individual took and passed the Series 7 prior to November 7, 2. Series 5. 3 examination. If an individual took and passed the Series 7 on or after November 7, 2.
Series 5. 2 (Municipal Securities Representative Exam) as a prerequisite to taking the Series 5. What is the difference between Series 7 and Series 6. The General Securities Representative Examination (Series 7) is an entry- level examination that qualifies the individual for registration with all self- regulatory organizations to trade: corporate stocks and bondsrightswarrantsreal estate investment trusts (REITs)collateralized mortgage obligations (CMOs)municipal securities options- equity, index, and foreign currencyinvestment company products/variable contractsdirect participation programsexchange traded funds (ETFs)The Corporate Securities Limited Representative Examination (Series 6.
FINRA qualification requirement for individuals who will trade corporate securities only. These include: corporate stocks and bondsrightswarrants.
REITscollateralized mortgage obligations (CMOs)exchange traded funds (ETFs)Using Reference Materials. The test administrator will provide whiteboard/dry erase marker and basic electronic calculators to the candidates, which must be returned to the test center administrator at the end of the testing session. Some test questions involve calculations. Only the provided calculators may be used during the examination.
The examination may contain questions that require the use of exhibits (e. If so, the questions will indicate when to refer to an exhibit.
Candidates are not permitted to bring any reference materials to testing sessions. Severe penalties are imposed on candidates who cheat or attempt to cheat on FINRA administered examinations.
To learn more about logistics and protocols for your exam day, please see On The Day of Your Exam.