SIE - Securities Industry Essentials Exam
This introductory-level exam assesses knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions and prohibited practices.
Series 63 - Uniform Securities Agent State Law Exam
This exam is designed to qualify candidates as securities agents. This securities license entitles the holder to register in any state.
Series 7 - General Securities Representative Exam
This exam assesses the competency of an entry-level registered representative to perform their job as a general securities representative.
Series 79 - Investment Banking Representative Exam
This exam measures the knowledge needed to perform the critical functions of a private securities offerings representative, including solicitation and sale of private placement securities products as part of a primary offering.
Series 82 - Private Securities Offerings Representative Exam
This exam measures the knowledge needed to perform the critical functions of a private securities offerings representative, including solicitation and sale of private placement securities products as part of a primary offering.