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

   www.finra.org › registration-exams-ce › qualification-exams

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   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

     For more information on registration requirements, refer to...

   • 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.,...

2. www.financialplannerworld.com › new-york-stockbrokerHow to Become a Stockbroker in New York – NY | Career | Series 7,...

   www.financialplannerworld.com › new-york-stockbroker

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   Here you’ll find detailed step-by-step instructions on how to become a stockbroker in New York by securing the necessary license and becoming registered with a self-regulatory authority recognized by the Securities and Exchange Commission (SEC).

3. ag.ny.gov › broker-dealer-and-securities-issuersBroker-dealer and securities issuers registration | New York...

   ag.ny.gov › broker-dealer-and-securities-issuers

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   register through the Central Registration Depository (CRD), online portal. All pertinent information is received through the CRD by the New York State Department of Law. pass the Series 63 Uniform Securities Agent State Law Exam or Series 66 Uniform Combined State Law Exam.

4. www.kaplanfinancial.com › getting-started › how-to-get-your-securities-licenseSecurities Licenses | FINRA & NASAA | How to Get Licensed ...

   www.kaplanfinancial.com › getting-started › how-to-get-your-securities-license

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   12 kwi 2024 · Administered by FINRA and known as the general securities representative license, the Series 7 license authorizes you to sell virtually any type of individual security, such as preferred stocks, options, bonds, and other individual fixed income investments—plus all forms of packaged products.

5. www.stcusa.com › securities › licensingSIE License Requirements - How to Get Your SIE License

   www.stcusa.com › securities › licensing

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   How to Pass Your SIE Exam and Take Your Career to the Next Level. SIE Exam Requirements: 1. Firm Sponsorship is NOT required. To take the Securities Industry Essentials (SIE) Exam, you must: — Be 18 years of age. 2. Study for Your SIE Exam.

6. www.finra.org › registration-exams-ce › registrationRegistration - FINRA.org

   www.finra.org › registration-exams-ce › registration

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   To become registered, securities professionals are required to pass qualification exams to demonstrate competence in their particular securities activities. The information below can help guide you through the membership and registration process.

7. ag.ny.gov › sites › defaultSTATE OF NEW YORK OFFICE OF THE ATTORNEY GENERAL

   ag.ny.gov › sites › default

   New York requires IARs to have passed the Series 65 or Series 66 within the two years preceding the IAR’s application for registration in New York, or while such application is pending, in order to satisfy the examination requirements of 11.6(a).