Securities Exam Preparation Inc - Securities Exam Preparation. Publishing and Professional Information Services . Assistance is also provided for registration of For. 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. This exam is administered by the Financial Industry Regulatory Authority (FINRA) and provides an individual with the qualifications necessary in order to make. 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. 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. Nearly 60 Questions From Insights Prelims 2015 Test Series Are Repeated (Directly & Indirectly) in General Studies Paper – 1 of UPSC Prelims – 2015 Exam. Check out our recommended Series 7 study guides and flashcards, if you need more help with your test. Series 7 Exam Study Guide that is guaranteed to raise your score. Correspondence course and test series for Homi Bhabha Balvaidnyanik Exam having sample Homi Bhabha Exam papers and mock tests for Homi Bhabha Exam. 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. 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.
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