Series 11 Securities Exam – Securities License Exam Preparation


The Series 11 “Assistant Representative-Order Processing” category of registration applies to persons associated with a FINRA member firm who accept telephone or other communications from the public for the purposes of providing current securities quotations and accepting unsolicited customer orders for submission to the normal order execution operations of the member.

An Assistant Representative-order processing registrant may conduct the above mentioned tasks only on the premises of the member, must be under the direct supervision of a registered principal, and may not receive extra direct or indirect compensation for the number or size of transactions effected.

In addition, an Assistant Representative – Order Processing registrant is prohibited from:

  • rendering investment advice or opinion
  • making recommendations
  • effecting transactions in securities markets on behalf of the member firm
  • accepting or opening new accounts
  • pre-qualifying potential customers
  • effecting transactions in municipal securities or direct participation programs
  • dually registering as a representative or principal

No prerequisite | $80 test fee (Form U-4) | 1 hour time limit | The Series 11 Assistant Representative – Order Processing exam covers the following topics:

Test Topics & Approximate Test Questions

Test Topics Approximate Test Questions
    Equity; Debt; Other Types of Securities 10
    Customer Accounts and Orders 24
    Securities Markets 5
    Regulations 11
***Total Questions*** ***50***


Series 11 Assistant Representative-Order Processing Exam Study Products

Series 11 – Exam Study Book

$150.00 Add

Securities Exam’s Series 11  400+ page 3-ring binder study-program is divided into the 4 broad categories of the exam with quizzes every few pages (after a key test topic!).

Ten simulated final exams with detailed explanations complete the program.

Over 1,000 questions in total!

Study Book for Series 11

Study Book for Series 11

 

Series 11 – DATBANK of Final Exams

$75.00 Add

The DATABANK contains Ten Final Exams with complete explanations.  This is a single-user DATABANK that expires after a certain time limit. You should take your exam within 120 days of purchasing the materials.

Study DATABANK for Series 11

Study DATABANK for Series 11

Series 11 – Exam Study Book + DATABANK of Final Exams

$225.00 $200.00 Add

Exam Study Book

Securities Exam’s Series 11  400+ page 3-ring binder study-program is divided into the 4 broad categories of the exam with quizzes every few pages (after a key test topic!).

Ten simulated final exams with detailed explanations complete the program. Over 1,000 questions in total!

DATBANK of Final Exams

The DATABANK contains Ten Final Exams with complete explanations.  This is a single-user DATABANK that expires after a certain time limit. You should take your exam within 120 days of purchasing the materials.

DATABANK & Study Book for Series 11

DATABANK & Study Book for Series 11

NOTE: All FINRA exam are continually being updated. You should take your exam within 120 days of ordering your study materials!
NOTE: Under the terms of our End User Licensing Agreement (“EULA”) each DATABANK Practice Exams product can be used only by one person. Once your order is processed by our staff you will be emailed access instructions to the DATABANK.