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Exam Prep - Study Guides and other Resources

FINRA NASAA & NFA Exams

  1. Series 3 - National Commodities Futures

  2. Series 4 – Registered Options Principal

  3. Series 6 - Mutual Fund and Annuity Representative

  4. Series 7 - General Securities Representative

  5. Series 9 - General Securities Supervisor Options Module

  6. Series 10 - General Securities Supervisor General Module

  7. Series 22 - Direct Participation Program Limited Representative

  8. Series 24 - General Securities Principal (GP)

  9. Series 26 - Investment Co / Variable Contracts Limited Principal

  10. Series 55 - Equity Trader Limited Representative

  11. Series 62 – Corporate Securities Limited Representative

  12. Series 63 - Uniform Securities Agent State Law

  13. Series 65 - Uniform Investment Advisor Law Examination

  14. Series 66 - Uniform Combined State Law

  15. Series 99 – Operations Professional

Global Professional Exams

  1. Chartered Financial Analyst (CFA®) Level I

  2. Chartered Financial Analyst (CFA®) Level II

  3. Chartered Financial Analyst (CFA®) Level III

  4. Certified Financial Planner (CFP®)

  5. Chartered Market Technician (CMT®) Level I

  6. Chartered Market Technician (CMT®) Level II

  7. Chartered Market Technician (CMT®) Level III

  8. Financial Risk Manager (FRM®) Part I

  9. Financial Risk Manager (FRM®) Part II

  10. Energy Risk Professional (ERP®)

  11. Licensed International Financial Analyst (LIFA®) Level I

Canadian Professional Exams

  1. Canadian Securities (CSC™)

  2. Conduct and Practices Handbook (CPH™)

Financial Professionals
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  1. Your Practice

    How Advisors Can Get the Best Price for Their Firm

    By Mark P. Cussen, CFP®, CMFC, AFC
  2. Products and Investments

    7 Top IRA Strategies for Your Clients

    By Roger Wohlner
  3. Financial Advisor Technology

    How Will the Fiduciary Rule Impact Robo-Advisors?

    By Mark P. Cussen, CFP®, CMFC, AFC
  4. Financial Advisor Technology

    Fiduciary Rule Prompts New Tech Products

    By Mark P. Cussen, CFP®, CMFC, AFC
  5. Your Practice

    Advisor Insights: What You Need to Know

    By Investopedia
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