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PENCILSExam Training Center is partnered with Securities Exam Preparation, Inc. to provide self-study test preparation programs for the securities (FINRA) licensing exams.

If you are looking to get your securities license and need current  and comprehensive test preparation materials in quick order, Exam Training Center’s web delivered programs may be the most convenient alternative for you!   Save time and money with the on-line study programs for Series 7, Series 63, and Series 66 exams.

The hard copy exam prep materials have great formatting and easy-to-read text.    Most programs can be supplemented with extra (Windows only) CD-test questions for those who want to "hammer" simulated test questions!    -– These study programs will get you through the information you need to know to pass the exam!


The actual FINRA exams are given through the Prometric and Pearson VUE testing centers. You need a sponsor to sit for all the exams, except for the Series 3, 30, 31, 34, 63, 65, and 66 tests. Remember, though, that passing the exam is only one step in becoming registered and you can’t solicit until you are completely registered! You can sit for the Series 3, 30, 31, 63, 65, and 66 exams by using Form U-10 (refer to our Links Page).

FINRA exams are generally grouped into Registered Representative and Registered Principal.   You usually need to pass the Registered Rep Exam before sitting for the Registered Principal Exam.


FINRA Registered Representative exams offered through Exam Training Center include: Series 6 (mutual
funds), Series 7 (all securities), and Series 11 (Assistant Representative), Series 55 (Equity Trader), Series 56 (Proprietary Traders), Series 82 and Series 99 (Operations Professional) exams.   The New York Stock Exchange Series 7 test is oftentimes called "the stockbroker exam". Those who want to become Registered Investment Advisors and their representatives sit for the Series 65 exam. The Securities and Exchange Commission ("SEC") oversees RIAs.

FINRA Registered Principal exams offered through Exam Training Center are: Series 4 (Options), Series 9/10 (Sales Supervisor), Series 24 (General securities), Series 26 (Mutual funds), Series 27 (Financial Operations), Series 51 (Municipal Fund Securities Principal), Series 53 (Municipal Securities). 

Commodity Futures and ForEx exams are the Series 3, 30, 31, 32 and 34 tests regulated by the National Futures Association ("NFA").

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FINRA EXAMS:

Registered Representative Level

Registered Principal Level

Others

Note:
All exams are continually being updated.
You should take your exam within 4 months of purchasing your materials.

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