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Exam Links

A table showing jurisdictions that require the Series 63. Click on the “SRO/State Fee Schedule – Web CRD.”

A table showing the fees to register investment adviser representatives. See “IA Representative State Registration Filing Fee Schedule.

A table showing jurisdictions that exempt brokerage agents from investment adviser representative exam requirements.

A list of exam study material vendors.

Search for an exam location near you.

Cancellation & Rescheduling Policy.

Get more information on test centers and exam scheduling.

A list of all exams administered by FINRA and their prerequisites.

A copy of the Form U-10, with instructions, is available on the FINRA website

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About Us

Investor Education

Issues & Advocacy

Regulatory & Legal

Industry Resources

NASAA Newsroom

Our Role

Saving & Investing

Testimony

Statements of Policy

Broker-Dealers

Current Headlines

NASAA History

NASAA Fraud Center

Comment Letters

Comment Letters

Corporation Finance

News Release Archive

Board of Directors

Retirement Planning

Legislative Agenda

Model Rules

Exams

Speeches

Membership Directory

Seniors

Dodd-Frank Information

NASAA Proposals

Investment Advisers

NASAA Insight

Sections & Project Groups

Adults & Families

Enforcement Directory

CRD & IARD

Member Newsrooms

Corporate Office

Women

Statements of Policy

Laws & Regulations

Annual Report

Careers

Youth & Educators

Legal Briefs

Uniform Forms

Contact Your Regulator

Resource Library

ARS Information

Franchise

Investor Alerts & Tips

Ombudsman

NASAA


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