Frequently Asked Question

February 26 2009  |  Filed Under » , ,

If I have already completed the Series 6 examination, do I have to complete the entire Series 7, or can I take a modified version?

After having written the Series 6 examination, there would be significant overlap with the Series 7 in areas such as mutual funds, unit investment trusts, and municipal securities.

The Financial Industry Regulatory Authority or FINRA, (formerly the National Association of Securities Dealers (NASD)), indicates that if you have successfully completed your Series 6 examination and you would like to become a licensed general securities registered representative, you can take all of the Series 22, 42, 52, 62, 72, and 82 examinations in lieu of the Series 7 examination. More information can be seen in FINRAs qualification diagram here.
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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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