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?

By Shauna Carther AAA
A:

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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