Frequently Asked Question

February 26 2009  |  Filed Under » ,

Do I have to successfully complete the Series 7 exam before I can register for the Series 63 exam?

There are no prerequisites to register for the Series 63 exam. However, once you have registered for the exam, you must schedule your exam within the 120-day window provided by the Financial Industry Regulatory Authority (formerly known as the National Association of Securities Dealers or NASD).

It is important to note that successfully completing an exam doesn’t mean that you are licensed. Successful completion of an exam enables an individual to begin the licensing process. Depending on your job description, you may need to also complete the Series 7 exam before you are eligible to become licensed.
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by

Shauna Carther

Shauna Carther
Shauna Carther is the vice president of content at Investopedia.com. In 2007, she appeared as a guest on Moneytrack, a Public Broadcasting Service program devoted to helping consumers learn to invest and take control of their finances.
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