Enroll for a Series Exam
Whether you are new to the industry or are seeking to broaden your career, you may be required to complete a Series exam. Reasons include:
- you are looking to become a securities industry professional and are required by a state regulator or by an approved regulatory authority to take an exam;
- you are looking to become an MSRB representative or principal;
- you are applying for NFA membership or as an Associated Person of an NFA member;
- you are seeking to become licensed by a state regulator to work with investors in that state.
To enroll for the appropriate Series exam, find it below and click the Enroll button for that Series group. You will automatically be directed to the correct enrollment process for that Series.