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Series 6 & 63 The Series 6 & 63 is designed to qualify candidates as securities agents. To obtain a securities license, as part of the registration process, securities professionals must pass an examination administered by NASD to demonstrate competence in the areas in which they will work. For more information about obtaining a Series 6 &63 license, please visit the National Association of Securities Dealers' website at www.nasd.com. Investment Company Products/Variable Contracts Limited Representative - (Series 6) - The NASD administers the Series 6 exam, which is required for individuals soliciting variable contracts, variable life and other redeemable securities (mutual funds).
Uniform Securities Agent State Law Examination - (Series 63) - The NASD administers the Series 63 exam, which will test your general knowledge about the Uniform Securities Act. Most states require individuals acting as agents, broker-dealers or investment advisers to pass this exam in addition to other exams before they can solicit securities within the state.
Series 65 The Series 65 is a "criterion based" minimum competency examination. The exams is administered to professionals within the investment industry. Criterion based means that a minimum passing criterion is established. Those candidates who pass the exams are considered to have met the minimum competency level and those who fail do not meet the minimum competency level. The items for these exams were drafted to clearly differentiate those candidates who qualify as minimally competent from those who do not. For more information about obtaining a Series 65 license, please visit the North American Securities Administrators Association's website at www.nasaa.org. Uniform Investment Adviser Law Examination - (Series 65) - The NASAA administers the Series 63 exam, which will qualify an investment professional to operate as an Investment Advisor Representative in certain states. The exam focuses on topic areas that are important for an investment advisor to know when providing investment advice. These areas include topics such as retirement planning, portfolio management strategies, and fiduciary obligations.
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Golden Hyde School
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