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 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 22, Series 52, Series 55 and Series 62. 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.
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 such as Pass Perfect and Center for Futures Education, exam study materials come in an easy-to-read, specially designed, self-study format. Besides book format, the Series 7, 63, 65, and 66 exam study programs are available online in an interactive manner. You can access via Windows or Mac systems from any computer! The book-style study programs can be supplemented with practice tests and exams via the web or in some cases a CD.
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.
The Complete List of Courses that SEP Offers:
Registered Representative Level
- Series 3 National Commodity Futures Exam
- Series 7 General Securities Registered Representative Exam
- Series 17 General Securities Representative “Add On” License for U.K. Representatives
- Series 31 Futures Managed Funds
- Series 34 Retail Off-Exchange Forex Exam
- Series 57 Securities Trader Qualification Examination
- Series 63 Uniform Securities Agent Laws
- Series 65 Uniform Registered Investment Advisor Exam
- Series 66 Uniform Combined Registered Investment Advisor – State Laws
- Series 99 Operations Professional Exam
Registered Principal Level
- Series 4 Registered Options Principal Exam
- Series 9 and 10 General Securities Sales Supervisor Exam
- Series 24 General Securities Principal Exam
- Series 26 Investment Company and Variable Contracts Products Registered Principal
- Series 27 Financial and Operations Principal Exam
- Series 30 Branch Office Manager Futures Exam
- Series 51 Municipal Fund Securities Limited Principal.
- Series 53 Municipal Securities Principal Exam