Posts under ‘Financial Exam Study Guides’

The FINRA Administered Qualification Examination offered by the Financial Industry Regulatory Authority (FINRA) features a number of investment related exams across a broad series of tests. The tests can be taken by select firms who have employees to file the U-4 form or by individuals who file the U-10 form.

The Series 9/10 exams are managed by the Financial Industry Regulatory Authority (FINRA). This was delegated to them by the National Association of Securities Dealers (NASD). Once you have passed both Series 9 and 10, you will become a qualified General Securities Sales Supervisor. You will be allowed to serve as a principal who supervises [...]

The North American Securities Administrators Association (NASAA) administers the Series 66 exam, also known as the Uniform Combined State Law examination. Passing this test is equivalent to having completed the Series 63 and Series 65 exams. This is a requirement for an investment professional to be a registered Investment Advisor Representative. An examinee is required [...]

The Series 65 exam or the Uniform Investment Adviser Law (UIAL exam) examination is administered by the Financial Industry Regulatory Authority (FINRA). Passing this test will give an investment professional license to work as an Investment Advisor Representative in some states. You can visit FINRA’s website regarding the exam dates and locations. But if you [...]

More known as the Corporate Securities Limited Representative exam (the CSLR exam), the Series 62 exam is administered by the Financial Industry Regulatory Authority (FINRA). FINRA is a non-profit private organization that mandates all the firms and people involved in the industry of securities trading in America. The Series 62 exam is considered an investment [...]

Formally known as the Branch Managers Examination – Futures, the Series 30 exam must be passed by people who want to obtain a license to perform tasks as a Branch Manager, in-charge of managing futures-related duties in a firm. This rule is set by the National Futures Association (NFA). The examinees for the Series 30 [...]

Also known as the General Securities Principal exam (GSP exam), the Series 24 exam is administered by the Financial Industry Regulatory Authority (FINRA). This is a requirement for registered professionals to be able to manage or supervise branch activities including variable contracts, venture capital, and corporate securities. These are the people involved in training, investment [...]

The Property and Casualty Insurance Exam is given to anyone who wants to obtain a license as an insurance agent. There are many types of exams given in the field of insurance, depending on what exactly you intend to sell. In this case, the exam must be taken by agents who want to sell products [...]

The Certified Financial Planner Board of Standards, Inc. administers the Certified Financial Planner (CFP) examination every third Friday and Saturday of the months of March, July, and November. This exam aims to measure the expertise of financial planners in the financial planning field, and is a step that will bring them closer to being able [...]

The CBM and CABM Exams are offered by the Association of Professionals in Business Management (APBM) and they grant certification as Certified Business Manager (CBM) or Certified Associate Business Manager (CABM). Applicants who wish to take the CBM must meet the following eligibility requirements: * Have an undergraduate degree in addition to four years of [...]

CFP Study Guide The Certified Financial Planner Board of Standards, Inc. administers the Certified Financial Planner (CFP) examination every third Friday and Saturday of the months of March, July, and November. This exam aims to measure the expertise of financial planners in the financial planning field, and is a step that will bring them closer [...]