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Questions and Answers
Which organization administers NASAA's exams?
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?
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?
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?
Which exam qualifies an individual as if he or she had passed both the Series 63 and Series 65?
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When will the updated test specifications for NASAA's examinations be effective?
When will the updated test specifications for NASAA's examinations be effective?
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Where can you find information about most tests completely free and online?
Where can you find information about most tests completely free and online?
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What is widely accepted as not the best way to approach an exam?
What is widely accepted as not the best way to approach an exam?
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What should you do to help sort out your time management for studying?
What should you do to help sort out your time management for studying?
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Where can you find free practice tests to help you prepare for exams?
Where can you find free practice tests to help you prepare for exams?
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What is the focus of the resources available for the test preparation process?
What is the focus of the resources available for the test preparation process?
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