(FINRA) Exam Prepration Notes

I provide study materials, article recommendations, and real-life scenarios to help learners understand and succeed in these exams.

1. Securities Representative Exams (Entry-Level)

• SIE (Securities Industry Essentials) – A prerequisite exam that tests basic securities knowledge.
• Series 6 – Investment Company and Variable Contracts Products Representative (mutual funds, variable annuities).
• Series 7 – General Securities Representative (broad range of securities, including stocks and bonds).
• Series 22 – Direct Participation Programs Representative.
• Series 57 – Securities Trader.

2. Supervisory and Principal Exams (Management/Compliance)

• Series 24 – General Securities Principal (oversees securities operations).
• Series 26 – Investment Company and Variable Contracts Products Principal.
• Series 27 – Financial and Operations Principal (FinOp).
• Series 9 and 10 – General Securities Sales Supervisor.

3. Investment Adviser Exams (Advisory Roles)

• Series 65 – Uniform Investment Adviser Law Exam (investment advice and fiduciary responsibilities).
• Series 66 – Uniform Combined State Law Exam (combines Series 63 and 65).

4. State Law Exams (Registration with States)

• Series 63 – Uniform Securities Agent State Law Exam.
• Series 66 – Uniform Combined State Law Exam.

5. Commodity and Futures Exams (Hedge Funds/Derivatives)

• Series 3 – National Commodities Futures Exam.
• Series 31 – Futures Managed Funds Exam.

6. Specialty Exams (Advanced or Niche Roles)

• Series 86/87 – Research Analyst.
• Series 99 – Operations Professional.

While preparing for the exam, I will provide you with notes that include advanced statistics, mathematics, law and regulations, Python coding, portfolio return calculations, indicator building, and working with Federal Reserve and Yahoo Finance APIs, among other topics.