The Series 65 exam — the NASAA Investment Advisers Law Examination — is a North American Securities Administrators Association (NASAA) exam administered by FINRA.The exam consists of 130 scored questions and 10 unscored questions. Candidates have 180 minutes to complete the exam. In order for a candidate to pass the Series 65 exam, they must correctly answer at least 92 of the 130 scored
Proposed Rule Change to Adopt FINRA Rule 2030 and FINRA Rule 4580 to Establish “Pay-To-Play” and Related Rules
Request for Interpretive Guidance Under NASD Rule 2711
Proposed Rule Change Relating to the Series 9/10 Examination Program
The Series 3 exam—the National Commodities Futures Examination—is a National Futures Association (NFA) exam administered by FINRA.
Remarks by Executive Vice President Thomas M. Selman at the IRI Government, Legal and Regulatory Conference
Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules
View an index of archived OATS Reports in the page.
