SECURITIES EXAM PREPARATION, INC.
Publishing and Professional Information Services
Securities Exam Preparation, Inc., established in 1972, is a consulting organization specializing in self-study exam preparation for FINRA, NASAA, and futures industry exams -- and in registration services for Investment Advisors, Broker Dealers, Commodity Trading Advisors, and Introducing Brokers. Assistance is also provided for registration of ForEx (foreign exchange) merchants and IBs.
Proficiency exams, administered by FINRA through Prometric and Pearson VUE Testing Centers, are assigned numbers and are classified into registered representatives, registered principals, and state-required exams.
FINRA Registered Representative exams include: Series 5, Series 6, Series 7, Series 11, Series 22, Series 52, Series 55, Series 62 and Series 82. The New York Stock Exchange (NYSE) Series 7 is often referred to as "the stockbroker exam". If you are looking to get your Series 7 license you should check out our Smart 7 on the Web program for your Series 7 test preparation.
|Study materials for the new Series 56 Exam for Proprietary Traders and Series 99 Exam for Operations Professionals are now available.|
FINRA Registered Principal exams consist of: Series 4, Series 23, Series 24, Series 26, Series 27, Series 28, Series 51, and Series 53 exams. The Series 9/10 and Series 14 are the NYSE's Branch Manager and Compliance Official exams, respectively.
NASAA state registration and Investment Advisor tests include: Series 65, Series 66 and Series 63. For those looking for a complete on-line Series 63 or Series 66 study program you should check out our " Smart 63 " and " Smart 66 " on the web programs. Note: "Smart" programs are also Mac compatible. Note: Investment Advisors are under the jurisdiction of the SEC and the various State Securities Administrators, not FINRA.
Futures industry tests include: Series 3, Series 30, Series 31 and Series 34. The futures branch manager exam is the Series 30. Those who trade ForEx (foreign exchange) and are under jurisdiction of the NFA may be required to sit for the Series 3 exam in addition to the Series 34 exam. Commodity floor brokers who trade their own account generally have to sit for special exams created for them by the exchange they trade on. You might want to contact the CME Group.
Registration services are coordinated through Securities Exam's affiliates for Registered Investment Advisors (RIA), Broker-Dealers (B/D), Commodity Trading Advisors (CTA), and Hedge Funds. Assistance is also provided for futures firms for the development of Anti-Money Laundering ("AML") programs and futures ethics training programs that need to be FCM specific.
Through Securities Exam's test preparation programs, and with the use of specialized affiliates, exam study materials come in an easy-to-read, specially-designed, self-study form. The Series 7, Series 63, and Series 66 exam study programs are available online. Most of the text-study programs, when necessary, can be supplemented with practice tests and exams on Windows© style disks.
All study programs are specifically designed for a self-study approach. Special review seminars -- both on site and web-tutorial -- for your firm can be arranged. Have your compliance officer contact us for pricing.