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Frequently Asked Questions

Where do I go to get a securities license?

Financial Industry Regulatory Authority (FINRA) is the organization in charge of securities licensing and requirements, and it also administers most of the exams you’ll need to pass to get your license.

Which is the newest series of securities license?

This Series 66 is the newest exam offered by NASAA. In essence, it combines the Series 63 and 65 exams into one 150-minute exam. 6 This test contains no investment material, as the Series 66 license is only available to candidates that are already Series 7 licensed.

Who is responsible for issuing a securities license?

The North American Securities Administrators Association (NASAA) oversees the licensing of Series 63, Series 65, and Series 66. The Financial Industry Regulatory Authority (FINRA) oversees all securities licensing procedures and requirements.

Is there a series 66 financial securities license?

This Series 66 is the newest exam offered by NASAA. In essence, it combines the Series 63 and 65 exams into one 150-minute exam. This test contains no investment material, as the Series 66 license is only available to candidates that are already Series 7 licensed.


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