TheSeries 6andSeries 7exams, which are offered byFinancial Industry Regulatory Authority (FINRA), are normally among the core exams that an individualregistered representativepasses. After that, there's at least one more hurdle that remains: the Series 63, 65, or 66 exams. A question in the ...
Series 7colloquially refers to the license that enables the holder to sell all types of securities exceptcommoditiesandfutures. Administered by theFinancial Industry Regulatory Authority (FINRA), the Series 7 exam—also known as the General Securities Representative Qualification Examination (GS)—essential...
Investment Bankers are required to pass the FINRA Series 79 Investment Banking Representative Exam.5 6. Skill Sets Both jobs require a great deal of analytical and mathematical/technical skills, but this especially applies to equity research analysts. These analysts need to be able to p...
FINRA exams are not free. They cost under $100 to $300 per attempt, but they are not overly difficult to pass. FINRA creates its own study materials, and most individuals only have to study for a few months to pass the Series 7, which many consider to be the most difficult test. I...
best interests ahead of their own. Being an RIA also doesn’t guarantee a certain level of competence, as the Series 65 exam deals chiefly with federal securities laws and regulations. However, many RIAs have more qualifications than a Series 65 such as other FINRA exams and certifications such...