Reviewed by Michael J Boyle Fact checked by Kirsten Rohrs Schmitt Series 63 vs. Series 65 vs. Series 66: An Overview There are many things that a person who plans to enter the industry as an ...

The Series 66 exam, formally called the Uniform Combined State Law Examination, is designed for individuals who want to become both a securities agent and an investment adviser representative (IAR).

This Series 66 guide will walk you through the essential details about the exam and what you need to succeed in the securities industry. If you’re considering a career in the financial industry ...

to adopt the new FINRA Rule 6500 Series (Securities Lending and Transparency Engine (SLATE) (the Rule) to (1) require reporting by covered persons of securities loans, and (2) provide for the ...

Reviewed by Colleen Ramos Passing the Series 63 exam allows the holder to sell and solicit orders for any type of financial security in a particular state after they've passed it. Most states but not ...

Securities professionals focused on the Series 7 don't typically take the Series 65. The Series 66 exam is a combination of the Series 63 and Series 65 exams. But it does not include the product ...