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Securities Frequently Asked Questions

What are the differences between Series 6, 63 and 7 exams?

Series 63: No sponsorship required to sit for this exam. It covers state laws, regulations and registration requirements for broker-dealers, agents and investment advisors. Additional topics include fraudulent practices and regulatory oversights. 65 Questions.

Series 6: Sponsoring company is required to sit the exam. Upon completion you’ll be known as a Registered Representative qualified to sell mutual funds and variable annuities. 100 Questions.

Series 7: Sponsoring company required to sit the exams. Upon completion you’ll be known as a General Securities Representative and can trade all types of stocks and bonds – does not include commodities or futures.  260 questions.

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