Q:

The Financial Industry Regulatory Authority (FINRA), (formerly the National Association of Securities Dealers), indicates on their SRO/state fee schedule that the following state jurisdictions do not require a licensed professional to complete the Series 63 exam:

  • Colorado
  • District of Columbia
  • Florida
  • Louisiana
  • Maine
  • Maryland
  • New Jersey
  • Ohio
  • Puerto Rico
  • Vermont


View further details on the SRO/state fee schedule (PDF) Here.

A:

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