Series
61Series 26 — A securities license entitling the holder to register as a limited principal who supervises and manages sales activities for investment companies and annuities. The multiple choice exam is administered by the Financial Industry Regulatory… …
62Series 4 — A securities license entitling the holder to supervise options sales personnel and compliance issues. Before taking the Series 4 exam, you must have your Series 7 license. The Series 4 exam is administered by the Financial Industry Regulatory… …
63Series 63 — A securities license entitling the holder to solicit orders for any type of security in a particular state. This license is required in addition to the Series 7 or Series 6. The Series 63 exam mainly covers state laws and regulations …
64Series 7 — A general securities registered representative license administered by the Financial Industry Regulatory Authority (FINRA) that entitles the holder to sell all types of securities products with the exception of commodities and futures. The bulk… …
65Series 79 — A examination to ensure a candidate is qualified to become a Limited Representative Investment Banker. The Series 79 exam is administered by the Financial Regulatory Authority (FINRA) and ensures those looking for positions in investment banking… …
66Series 82 — An exam administered by the Financial Industry Regulatory Authority (FINRA) for individuals seeking to become private securities offering representatives. A person who passes the Series 82 can only offer private placement offering on original… …
67series — I (New American Roget s College Thesaurus) n. sequence, set, succession, chain, progression, cycle. See continuity. II (Roget s IV) n. Syn. rank, file, line, row, set, train, range, list, string, chain, order, sequence, succession, group,… …
68series — /ˈsɪəriz / (say searreez) noun (plural series) 1. a number of things, events, etc., ranged or occurring in spatial, temporal, or other succession; a sequence. 2. a set of radio or television programs which comprise a number of episodes but… …
69Series 14 — An exam administered by the Financial Industry Regulatory Authority (FINRA) for professionals seeking to become licensed compliance officers for a member firm. Anyone who seeks employment as a head compliance officer or who will be managing more… …
70Series 27 — A securities license entitling the holder to become a chief financial officer for a FINRA member firm. The Series 27 exam is a FINRA exam designed to challenge the test taker s knowledge of issues related to CFO responsibilities, such as… …
