NASAA EXAM STUDY GUIDES
NASAA provides newly created guides for candidates interested in taking the Series 63, Series 65, and Series 66 qualification examinations.
This is the first time NASAA has published exam guides with this level of detail. The materials offer a more comprehensive description of the exams for candidates and educators alike. The guides are intended to aid test takers in better understanding the scope and testing standards for each exam. Passing an exam is normally a prerequisite for being licensed by a state before as a broker-dealer agent or investment adviser representative who can work with investors.
SERIES 63
The Series 63, Uniform Securities Agent State Law Examination, is the state law test for broker-dealer representatives.
SERIES 65
The Series 65, Uniform Investment Adviser Law Examination, is for investment adviser representatives.
SERIES 66
Passing the Series 66, the Uniform Combined State Law Examination, qualifies an individual as if he or she had passed both the Series 63 and Series 65. However, to register as an investment adviser representative based on the Series 66, an individual must also have passed the FINRA Series 7 exam and the exam must be valid (i.e., not expired).
STUDY MATERIAL VENDORS
Several private entities provide study materials for NASAA exams.
EXAM FAQs
Frequently asked questions about the Series 63, 65 and 66 exams
