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Qualification Exams. To become registered, securities professionals must pass qualifying exams administered by FINRA to demonstrate their competence in the particular securities activities in which they will work. An individual must pass the exams prior to engaging in those areas of the business.
- Series 82
The Series 82 exam measures the degree to which each...
- FAQs
Following are FAQs about the Securities Industry Essentials®...
- Testing Accommodations Requests (Americans With Disabilities Act)
All testing sites are wheelchair accessible for persons with...
- Permitted Activities and Other Facts About Qualification Exams
The following pages will be useful to registration managers...
- Qualification Exam Waivers and Exemptions
FINRA may grant waivers, in exceptional cases, or exemptions...
- Frequently Asked Questions Related to Back-to-back Scheduling
The appointment times will follow one another. For example,...
- Finra Qualification and Registration Requirements Frequently Asked Questions
The FINRA qualification and registration requirements are...
- Schedule an Exam
the name of the exam or its identifying series ID (e.g.,...
- Series 82
Licensing Exam Vendor. PSI Services provides all examination services to candidates seeking to obtain an insurance license in New York. PSI testing centers are located in various cities across New York State. For more information, visit PSI Exams Online, where you can: Create an account; Check available exam dates; Register for an exam ...
28 kwi 2023 · The New York State Department of Financial Services has contracted with PSI Services LLC (PSI) to conduct the examination program. PSI provides examinations through a network of computer examination centers in New York.
Those interested in expanding their offerings as financial planners by selling variable annuities must complete the life line of authority licensing process outlined above, and also qualify as security brokers by taking the FINRA Series 6 or Series 7 Exam and the 63 Exam.
NYS Insurance Law requires an individual who is seeking an agent, broker or public adjuster license to complete a pre-licensing course approved by the Superintendent of Insurance.
New York’s requires that all investment adviser representative candidates register for and complete one of the following exams: The Series 65, Uniform Investment Adviser Law Examination. OR. The Series 66, Uniform Combined State Law Examination and the Series 7, General Securities Representative Examination.
How do I become eligible to take an FINRA exam? You must be registered for your examination(s) with FINRA and receive authorization from your sponsoring firm prior to scheduling your appointment at a Prometric Testing Center. What time must I arrive at the Testing Center?
