SIE Exam
Securities Industry Essentials
Training course and materials for the SIE Exam, the entry point into the securities industry. The SIE exam assesses basic knowledge of the securities industry, including products, risks, market structure, and regulations.
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Series 6
Investment Company and Variable Contracts Products Rep Exam
Training course and materials for the Series 6 Exam. The exam is designed to assess the competency of entry-level Investment Company and Variable Contracts Products Representatives, measuring the degree to which each candidate possesses the knowledge, skills, and abilities needed to perform critical job functions.
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Series 7
General Securities Representative
Training course and materials for the Series 7 Exam. The exam is designed to assess the competency of entry-level General Securities Representatives and seeks to measure the degree to which each candidate possesses the knowledge, skills, and abilities needed to perform critical job functions.
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Bundle: SIE + Series 6
Securities Industry Essentials + Investment Company Representative
Two courses in one! The integrated SIE and Series 6 bundle includes two different exam prep training courses within a single purchase, providing candidates with multiple ways to study and prepare for their exams. Gain complete flexibility on how to study, while saving time and money by choosing this option.
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Bundle: SIE + Series 7
Securities Industry Essentials + General Securities Representative
Two courses in one! The integrated SIE and Series 7 bundle includes two different exam prep training courses within a single purchase, providing candidates with multiple ways to study and prepare for their exams. Gain complete flexibility on how to study, while saving time and money by choosing this option.
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Series 63
Uniform Securities Agent State Law Exam
Training course and materials for the Series 63 Exam. The exam is designed to qualify candidates as securities agents. It is intended to provide a basis for state securities administrators to determine an applicant's knowledge and understanding of state law and regulations.
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Series 65
Uniform Investment Adviser Law Exam
Training course and materials for the Series 65 Exam. The exam is designed to qualify candidates as investment adviser representatives. The exam covers topics that have been identified as essential to understanding to provide investment advice to clients.
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Series 66
Uniform Combined State Law Exam
Training course and materials for the Series 66 Exam. The exam is designed to qualify candidates as both securities agents and investment adviser representatives. The exam covers topics that have been determined to be necessary to provide investment advice and effect securities transactions for clients.
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Series 3
National Commodities Futures Exam
Training course and materials for the Series 3 Exam. The exam licenses financial professionals to sell commodity futures contracts and options and commodity futures contracts and covers market knowledge and U.S. regulations.
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Series 31
Futures Managed Funds Exam
Training course and materials for the Series 31 Exam. In most cases, this exam is required to individuals applying for NFA membership as a futures commission merchant (FCM), retail foreign exchange dealer (RFED), introducing broker (IB), commodity pool operator (CPO), or commodity treading advisor (CTA), or as an associated person (AP) or these entities. It covers material related to managed funds.
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Series 4
Registered Options Principal Qualification Exam
Training course and materials for the Series 4 Exam. The exam assesses the competency of an entry-level principal to perform their job as a registered options principal. It measures the degree to which each candidate possesses the knowledge needed to perform critical job functions.
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Series 34
Retail Off-Exchange Forex Exam
Training course and materials for the Series 34 Exam. In most cases, individuals seeking approval as a forex firm individual must pass the Series 34 examination before engaging in off-exchange retail forex. It covers material related to retail off-exchange forex.
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Series 24
General Securities Principal Qualification Exam
Training course and materials for the Series 24 Exam. A Series 24 license allows individuals responsible for managing or supervising a FINRA member's investment banking or securities business. It qualifies the individual as the General Securities Principal.
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Series 10
General Securities Sales Supervisor Qualification Exam (Part 1)
Training course and materials for the Series 10 Exam. The Series 10 exam is Part 1 (General) of the Series 9/10 exam, which assesses the ability of an entry-level principal to perform their job as a securities sales supervisor.
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Series 9
General Securities Sales Supervisor Qualification Exam (Part 2)
Training course and materials for the Series 9 Exam. The Series 9 exam is Part 2 (Options) of the Series 9/10 exam, which assesses the ability of an entry-level principal to perform their job as a securities sales supervisor.
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Series 99
Operations Professional Qualification Exam
Training course and materials for the Series 99 Exam. The Series 99 exam assesses the ability of an entry-level Registered Representative to perform their job as an operations professional.
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Bundle: SIE + Series 99
Securities Industry Essentials + Operations Professional Qualification Exam
Two courses in one! The integrated SIE and Series 99 bundle includes two different exam preparation training courses within a single purchase, providing candidates with multiple ways to study and prepare for their exams. Gain complete flexibility on how to study, while saving time and money by choosing this two-in-one option.
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