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Broker-Dealer Agents and Investment Adviser Representatives Licensing Quiz

10 Questions

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Broker-Dealer Agents and Investment Adviser Representatives Licensing Quiz

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Questions and Answers

Which organization administers NASAA's exams?

Financial Industry Regulatory Authority (FINRA) (correct)

National Conference of Bar Examiners (NCBE)

North American Securities Administrators Association (NASAA)

Securities and Exchange Commission (SEC)

Which exam is for investment adviser representatives?

Series 66

Series 63

Series 7

Series 65 (correct)

What is the prerequisite for being licensed by a state as a broker-dealer agent or investment adviser representative?

Obtaining a professional reference

Passing an exam (correct)

Having a college degree

Completing an internship

Which exam qualifies an individual as if he or she had passed both the Series 63 and Series 65?

Series 66 Signup and view all the answers

When will the updated test specifications for NASAA's examinations be effective?

June 12, 2023 Signup and view all the answers

Where can you find information about most tests completely free and online?

Official websites Signup and view all the answers

What is widely accepted as not the best way to approach an exam?

Last-minute cramming Signup and view all the answers

What should you do to help sort out your time management for studying?

Set up a timetable Signup and view all the answers

Where can you find free practice tests to help you prepare for exams?

The internet Signup and view all the answers

What is the focus of the resources available for the test preparation process?

Information and study guides Signup and view all the answers