Series 30 Definition

Series 30 Definition

What Is the Series 30? The Series 30 exam, also known as the NFA Branch Managers Examination, is a financial examination for professionals wishing to become branch managers for commodities futures trading firms. It is created by the National Futures Association (NFA) and is administered by the Financial Industry Regulatory Authority (FINRA). Key Takeaways The

Collection 4

Collection 4

What Is the Series 4? The Series 4 is an exam and securities license entitling the holder to supervise options sales personnel and compliance issues. It covers topics such as options strategies, foreign exchange options and taxation. Before taking the Series 4 Exam, a candidate must have a Series 7 license. Key Takeaways The Series

Collection 51 Definition

Collection 51 Definition

What Is the Series 51 Exam? The Series 51 is a financial exam for professionals wishing to sell municipal fund securities or oversee the sale of such securities. The exam’s full name is the Municipal Fund Securities Limited Principal Qualification Examination, and it is jointly overseen by two financial regulators: the Financial Industry Regulatory Authority

Assortment 52 Definition

Assortment 52 Definition

What Is Series 52? The Series 52 is a professional license and certification that qualifies a financial professional to transact municipal securities. It is known as the Municipal Securities Representative Qualification Examination. The exam consists of 75 scored questions. Candidates are given two hours and 30 minutes to complete the exam. The passing score is

Assortment 53 Definition

Assortment 53 Definition

What Is the Series 53 Exam? The Series 53 exam is a licensing test that permits an individual to supervise the municipal securities activities of a securities firm or bank dealer. The Series 53 exam is administered by the Financial Industry Regulatory Authority (FINRA) and is one of many Municipal Securities Rulemaking Board (MSRB) exams.

Collection 57 Definition

Collection 57 Definition

What Is Series 57? Series 57, also known as the Securities Trader Representative Exam, is an examination administered by the Financial Industry Regulatory Authority (FINRA). Passing the Series 57 exam is a requirement for those who wish to become professional traders of either equities or convertible debt securities.  Key Takeaways The Series 57 exam is

Series 65 Exam: Building, Content material subject material, and FAQ

Series 65 Exam: Building, Content material subject material, and FAQ

What Is the Series 65? Designed by the North American Securities Administrators Association (NASAA) and administered by the Financial Industry Regulatory Authority (FINRA), the Series 65 is an exam and securities license required for individuals to act as investment advisers in the US. The Series 65 exam, known formally as the Uniform Investment Adviser Law