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





Skip to content