Exam Links

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

A table showing jurisdictions that require the Series 65 or 66, as well as grandfathering and waiver provisions.

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.

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.