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Exam Overview

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.


Answers to the most frequently asked questions about the Series 63, 65, or 66 exams.


NASAA’s exam content outlines are designed to provide an overview of the exam’s general content and format.