Series 4: Registered Options Principal Examination The Series 4 examination assesses the competency of an entry-level registered options principal. A registered options principal is an individual who has the supervisory responsibility for all aspects of an options business, including sales, trading, and marketing of options products. The examination covers the following topics: -The role of … Read more
A Series 57 license is required for individuals who want to act as a registered representative for a broker-dealer that deals primarily in securities of debt and equity issues with a maturity of more than nine months. The Series 57 license also allows these individuals to underwrite and place these securities with the public. Is … Read more
The Series 27 is an examination administered by the Financial Industry Regulatory Authority (FINRA). The Series 27 covers the supervisory requirements for broker-dealers who are engaged in the business of proprietary trading and market-making in securities. Are FINRA exams curved? Yes, FINRA exams are curved. The curve is based on the difficulty of the exam … Read more
The Series 3 is a national examination administered by the Financial Industry Regulatory Authority (FINRA). The examination is required for individuals seeking to become registered representatives of futures commission merchants, retail foreign exchange dealers, commodity trading advisors, commodity pool operators, and introducing brokers. The Series 3 examination tests for a representative’s knowledge of futures and … Read more
The “Series 26 Definition” is a term used to describe the content and format of the Financial Industry Regulatory Authority’s (FINRA) Series 26 examination. The examination is designed to test an individual’s knowledge of investment company products and their suitability for different types of investors. It is also intended to ensure that individuals who sell … Read more
The Series 86 and 87 exams are exams that are administered by the Financial Industry Regulatory Authority (FINRA). The Series 86 exam is known as the “Investment Company and Variable Contracts Products Principal Qualification Examination”, while the Series 87 exam is known as the “Qualification Examination for Investment Company and Variable Contracts Products Representative”. The … Read more
The Series 11 is the General Securities Sales Supervisor Qualification Examination. It is a computer-based test consisting of 125 multiple-choice questions. The examination is designed to assess the competency of candidates who will be supervising sales activities in the securities industry. Is Sie or Series 7 harder? There is no easy answer when it comes … Read more
The Series 82 examination is administered by the Financial Industry Regulatory Authority (FINRA). It is a computer-based exam that consists of 125 multiple-choice questions. The passing score for the Series 82 exam is 70%. The examination covers topics such as the public offering process, the role of investment bankers, and the regulatory environment. Which is … Read more
