WASHINGTON, D.C. – (September 25, 2023) – The North American Securities Administrators Association (NASAA) announced today the release of 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.

“We are pleased to offer these guides as a resource and a tool to help candidates prepare for a NASAA exam,” said Elizabeth Bowling, Tennessee Department of Commerce and Insurance Assistant Commissioner for Securities Division, and Chair of NASAA’s Exams Advisory Committee. “We believe these guides provide a great starting point for individuals pursuing a career in the financial industry.”

“NASAA and state securities regulators are always looking for ways to further investor protection. One of those ways is to make certain investors only work with appropriately qualified individuals. These guides not only create greater transparency surrounding what will be assessed, but also set the bar for candidates to see the breadth of knowledge states expect,” said Claire McHenry, Deputy Director of the Nebraska Bureau of Securities, and NASAA President.

These guides are intended to be an overview of each examination and should not be considered a substitute for thorough study and preparation. The guides and other relevant exam information can be found on NASAA’s website at www.nasaa.org/exams. For exam-related inquiries, please contact NASAA at exams@nasaa.org.

– NASAA–

About NASAA:

Organized in 1919, the North American Securities Administrators Association (NASAA) is the oldest international organization devoted to investor protection. NASAA is a voluntary association whose membership consists of the securities regulators in the 50 states, the District of Columbia, Puerto Rico, Guam, the U.S. Virgin Islands, the 13 provincial and territorial securities regulators in Canada, and the securities regulator in México. For more information, visit www.nasaa.org. 

For More Information:

Fred Baldassaro, Director of Communications
fbaldassaro@nasaa.org | 202-737-0900

Karen Grajales, Communications and Investor Outreach Manager
kgrajales@nasaa.org | 202-737-0900