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FINRA · SEC · MSRB · OCC · NASAA
Securities Industry Essentials
The foundation exam every candidate must pass.
General Securities Representative
Sell a broad range of securities products.
Uniform Securities Agent State Law
State-level agent registration in most jurisdictions.
Uniform Investment Adviser Law
Register as an Investment Adviser Representative.
Combined State Law & Adviser
The Series 63 + 65 combined path for Series 7 holders.
General Securities Principal
Supervise sales, trading, and underwriting activity.
Municipal Securities Representative
Sell and trade municipal bonds and notes.
Options Fundamentals
OCC-cleared listed options mechanics and rules.
SEC Federal Securities Law
Federal antifraud, disclosure, and reporting rules.