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An exam that must be successfully completed in order to register with the National Futures Association and trade commodities or futures contracts.
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This exam focuses on the tools and concepts you need in order to buy/sell securities traded in the U.S.
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An exam that is required in order for a registered representative to deal DPPs.
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An exam required for an individual wishing to act as a principal for investment companies and annuity activities.
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Completion of this exam is necessary for you to solicit orders for any type of security in a specific state.
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Equivalent to a combination of both the Series 63 and Series 65 exams, completion of this exam will qualify an individual to register as an...
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Completion of this exam allows you to conduct business in both investment company and variable contract products.
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You must complete both of these exams in order to supervise general sales activities.
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Series 24 - General Securities Principal (GP) Focuses on NASD regulations, brokerage office operations, and other supervisory concerns required...
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Completion qualifies an individual to act as either a principal or agent in equity and convertible debt securities transactions.
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An exam that qualifies a finance professional to become an investment advisor representative.
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