The exam can be taken by a person associated with a municipal advisor and who intends to engage in municipal advisory activities. The outline is comprised of the four major job functions of a general securities representative. Candidates will need to study topics that include futures and forward contracts, hedging, yield curve, NFA rules, regulations, and disclosure documents. To be eligible to take the Series 26 exam, a candidate must have passed the SIE plus either Series 7 or Series 6. Many Series 7 Exam Prep providers tout a guarantee that you’ll pass your exam with their help. Candidates must be associated and sponsored by a FINRA member firm or a Self-Regulatory Organization (SRO) to be eligible to take FINRA representative-level qualification exams. The Series 27 exam does not have a corequisite exam, but candidates must be associated with a FINRA member firm or a self-regulatory organization to take this test.
If you’re in need of test prep for the Securities Industry Essentials (SIE) or Series 7, take a look at our modern, online courses. Ideally, Series 7 examinees should take and pass the SIE exam before taking this test, and must also be associated and sponsored by a FINRA member company or a Self-Regulatory Organization. Also, candidates must be employed and sponsored by a municipal firm. This exam should be taken after passing the SIE exam, and after being associated and sponsored by a FINRA member or a Self-Regulatory Organization.
Contact FINRA at 301-590-6500. The Series 30 exam is for the financial professional seeking to work as a Branch Manager for a futures trading firm. The exact pass rates might be a little different from what we’ve listed here, but you can feel confident that they’ll be close. Candidates will need to study topics that include futures trading products, NFA regulations, solicitation rules, employee rules and ethics, account handling procedures, record keeping, disciplinary procedures, net capital requirements, and handling customer’s money. They must also have passed the SIE and Series 7 exams. The test was just released in 2018, so naturally we get a lot of questions about SIE Exam difficulty. (source). Thinking about a career in securities? Ideally, Series 79 examinees should take and pass the SIE exam before taking this test. (source).
The Series 52 is a licensing exam required to transact in municipal securities such as municipal bonds. The Series 7 exam is not easy. If you obtained a General Securities Representative (Series 7) registration on or after November 7, 2011, you will have to pass the Municipal Securities Representative (Series 52) Exam as a corequisite to taking the Series 53 exam. The exam is a qualification exam that assesses the knowledge of a candidate in performing the critical functions of a compliance officer, including tasks that involve compliance processes and reporting requirements. Topics on the test cover Security Exchange Commission (SEC) releases, Uniform Securities Act, federal laws, general business practices, administrative procedures, financial profiles, and portfolio management. The exam’s content is focused on private securities and private placement transactions. All rights reserved ©2016 - 2020 Achievable, Inc. Securities Industry Essentials (SIE) Exam, Securities Industry Essentials (SIE) exam, https://www.finra.org/registration-exams-ce/qualification-exams/securities-industry-essentials-sie, https://www.finra.org/registration-exams-ce/qualification-exams/series6, https://www.finra.org/registration-exams-ce/qualification-exams/series7, https://www.finra.org/registration-exams-ce/qualification-exams/series22, https://www.finra.org/registration-exams-ce/qualification-exams/series57, https://www.finra.org/registration-exams-ce/qualification-exams/series79, https://www.finra.org/registration-exams-ce/qualification-exams/series82, https://www.finra.org/registration-exams-ce/qualification-exams/series86-87, https://www.finra.org/registration-exams-ce/qualification-exams/series99, https://www.finra.org/registration-exams-ce/qualification-exams/series4, https://www.finra.org/registration-exams-ce/qualification-exams/series9-10, https://www.finra.org/registration-exams-ce/qualification-exams/series14, https://www.finra.org/registration-exams-ce/qualification-exams/series16, https://www.finra.org/registration-exams-ce/qualification-exams/series23, https://www.finra.org/registration-exams-ce/qualification-exams/series24, https://www.finra.org/registration-exams-ce/qualification-exams/series26, https://www.finra.org/registration-exams-ce/qualification-exams/series27, https://www.finra.org/registration-exams-ce/qualification-exams/series28, https://www.finra.org/registration-exams-ce/qualification-exams/series39, https://www.finra.org/registration-exams-ce/qualification-exams/series50, https://www.finra.org/registration-exams-ce/qualification-exams/series51, https://www.finra.org/registration-exams-ce/qualification-exams/series52, https://www.finra.org/registration-exams-ce/qualification-exams/series53, https://www.finra.org/registration-exams-ce/qualification-exams/series54, https://www.nfa.futures.org/registration-membership/how-to-register/proficiency-requirements-futures.html.
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