Skip to content
NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION™

Exams

NASAA Exams

Passing an exam is normally a prerequisite for being licensed by a state before a broker-dealer agent or investment adviser representative can work with investors. NASAA’s exams are administered for NASAA by the Financial Industry Regulatory Authority (FINRA). A candidate may open a window for one of NASAA’s exams through his or her firm or independently through FINRA’s Test Enrollment Services System.

 

General Exam Information

Exam FAQs

Exam Validity Extension Program

Exams Assistance