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  1. www.finra.org › registration-exams-ce › qualification-examsQualification Exams - FINRA.org

    NASD Announces Exemption from the Analysis Portion of the Research Analyst Qualification Examination (Series 86) for Certain Applicants Who Prepare Only "Technical Research Reports"

  2. 25 sty 2021 · The Series 9/10 exams are administered by the Financial Industry Regulatory Authority (FINRA) and were formerly known as the Series 8 Exam. As the name would suggest, the exam is broken into...

  3. 30 maj 2024 · The Series 86/87 exams are for research analysts, covering financial analysis, valuation, and compliance aspects of research activities. Duration: 4 hours and 30 minutes; 1 hour and 45 minutes. Questions: 85; 50. Cost: $225; $150.

  4. The following is a list of the U.S. Financial Industry Regulatory Authority (FINRA), NASAA, and National Futures Association (NFA) financial securities examinations. Most FINRA examinations are divided into two categories: Registered Representative and Registered Principal levels.

  5. 1 kwi 2024 · 8. Series 99 - Operations Professional The Series 99 license allows those working in operations to perform tasks like customer onboarding, funds disbursements and account transfers. The primary topics for this exam include professionalism, ethics and knowledge of the securities industry and broker-dealer operations.

  6. The following is a list of ALL the exams administered by FINRA with all the details you need to get the right securities training before registering to take the exam. Let's get started. 1. Securities Industry Essentials (SIE) exam.

  7. 2 paź 2024 · Financial securities licenses like Series 7 and Series 63 are required by individuals who market and sell investments or securities.

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