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Exam Overview

Passing an exam is normally a prerequisite for being licensed by a state before a broker-dealer or investment adviser can work with investors. The exams are administered for NASAA by the Financial Industry Regulatory Authority (FINRA).


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


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