Series 66

  1. RIAs and Brokers: What's the Difference?

    RIAs and brokers are held to different standards when providing investment advice. ...
  2. Steps to Starting Up an Independent Broker Dealer

    Launching your own broker-dealer is a lot of work, but the potential payoff is great, ...
  1. I have passed the Series 63 and FINRA Series 7, but would like to become licensed ...

    Becoming an investment adviser representative requires more examination than just taking the FINRA Series 63 exam. See what ...
  2. If I failed the Series 66, does the waiting period apply if I want to take the Series ...

    Learn more about the NASAA exam waiting period requirements and the policies regarding retakes, the creation of test questions ...
Hot Definitions
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