Exam Prep - Study Guides and other Resources
EXAM PREP
The Securities Industry Essentials Exam
There are big changes coming to the FINRA testing structure.
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Series 3 - National Commodities Futures
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Series 4 – Registered Options Principal
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Series 6 - Mutual Fund and Annuity Representative
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Series 7 - General Securities Representative
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Series 9 - General Securities Supervisor Options Module
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Series 10 - General Securities Supervisor General Module
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Series 22 - Direct Participation Program Limited Representative
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Series 24 - General Securities Principal (GP)
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Series 26 - Investment Co / Variable Contracts Limited Principal
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Series 57 - Equity Trader Limited Representative
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Series 62 – Corporate Securities Limited Representative
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Series 63 - Uniform Securities Agent State Law
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Series 65 - Uniform Investment Advisor Law Examination
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Series 66 - Uniform Combined State Law
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Series 99 – Operations Professional
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The Securities Industry Essentials Exam
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Chartered Financial Analyst (CFA®) Level I
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Chartered Financial Analyst (CFA®) Level II
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Chartered Financial Analyst (CFA®) Level III
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Certified Financial Planner (CFP®)
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Chartered Market Technician (CMT®) Level I
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Chartered Market Technician (CMT®) Level II
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Chartered Market Technician (CMT®) Level III
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Financial Risk Manager (FRM®) Part I
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Financial Risk Manager (FRM®) Part II
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Energy Risk Professional (ERP®)
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Licensed International Financial Analyst (LIFA®) Level I
