FINRA Licensing Presentation: Series 7 and 63 Exam. This video is an overview of the FINRA Series 7 and Series 63 exams
Series 7 - General Securities Representative Examination
This registration qualifies a candidate for the solicitation, purchase, and/or sale of all securities products, including corporate securities, municipal securities, municipal fund securities, options, direct participation programs, investment company products, and variable contracts.
Series 63 - Uniform Securities Agent State Law Examination
The examination is designed to qualify candidates as securities agents. The examination covers the principles of state securities regulation reflected in the Uniform Securities Act (with the amendments adopted by NASAA and rules prohibiting dishonest and unethical business practices). The examination is intended to provide a basis for state securities administrators to determine an applicant's knowledge and understanding of state law and regulations.
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