Pass Securities Exams pricing
Securities Industry Essentials (SIE)
Securities Industry Essentials (SIE): $49 one time for 12 study modules, 84 memory cards, 84 original practice questions and 2 practice forms.
- Market Structure & Participants — free
- New Issues & Economic Factors — free
- Equity Securities — free
- Debt & Fixed Income — full course
- Municipal Securities — full course
- Packaged Products — full course
- Options — full course
- Investment Risks — full course
- Trading & Market Mechanics — full course
- Customer Accounts — full course
- Prohibited Activities & AML — full course
- Regulatory Framework — full course
The full course covers 4 topic areas of the Securities Industry Essentials (SIE): Knowledge of Capital Markets, Understanding Products & Their Risks, Trading, Customer Accounts & Prohibited Activities and Overview of the Regulatory Framework.
Start with Market Structure & Participants, New Issues & Economic Factors and Equity Securities free before deciding.
Try the free Securities Industry Essentials (SIE) modules → · Study guide
FINRA Series 7
FINRA Series 7: $59 one time for 9 study modules, 81 memory cards, 81 original practice questions and 2 practice forms.
- Registration Gating: SIE, Series 6, and State Law — free
- Options: Building the Breakeven Math — free
- Municipal Securities: Repayment Source and Tax — full course
- Margin: Chaining the Math Together — full course
- Suitability and Reg BI: The Regulatory Heart — full course
- Debt Securities: Price, Yield, and the Conventions — full course
- Equity and Packaged Products: Beyond the SIE — full course
- Trading and Settlement: The Back-Office Mechanics — full course
- Accounts and New Issues: The Thin-But-Real Functions — full course
The full course covers 2 topic areas of the FINRA Series 7: F1 — Seeks Business for the Broker-Dealer from Customers and Potential Customers and F2 — Opens Accounts After Obtaining and Evaluating Customers' Financial Profile and Investment Objectives.
Start with Registration Gating: SIE, Series 6, and State Law and Options: Building the Breakeven Math free before deciding.
FINRA Series 6
FINRA Series 6: $49 one time for 9 study modules, 69 memory cards, 100 original practice questions and 2 practice forms.
- Communications with the Public — free
- Prospectus, New Issues & Exempt Offerings — free
- Accounts, Retirement Plans & Customer Screening — full course
- Suitability & Regulation Best Interest — full course
- Investment Companies & Fund Structure — full course
- Share Classes, Sales Charges & Breakpoints — full course
- Variable Annuities & Variable Life — full course
- Underlying Securities, Tax & Municipal Fund Securities — full course
- Orders, Settlement, Records & Complaints — full course
The full course covers 3 topic areas of the FINRA Series 6: F1 — Seeks Business for the Broker-Dealer from Customers and Potential Customers, F2 — Opens Accounts After Obtaining and Evaluating Customers' Financial Profile and Investment Objectives and F4 — Obtains and Verifies Customers' Purchase and Sales Instructions; Processes, Completes and Confirms Transactions.
Start with Communications with the Public and Prospectus, New Issues & Exempt Offerings free before deciding.
NASAA Series 63
NASAA Series 63: $49 one time for 9 study modules, 40 memory cards, 67 original practice questions and 2 practice forms.
- Ethical Practices and Obligations — free
- Communication with Customers and Prospects — free
- Regulation of Agents of Broker-Dealers — full course
- Regulation of Broker-Dealers — full course
- Remedies and Administrative Provisions — full course
- Regulation of Securities and Issuers — full course
- Regulation of Investment Advisers — full course
- Regulation of Investment Adviser Representatives — full course
- Routing: Series 63 vs 65 vs 66 — full course
The full course covers 9 topic areas of the NASAA Series 63: Ethical Practices and Obligations, Communication with Customers and Prospects, Regulation of Agents of Broker-Dealers, Regulation of Broker-Dealers, Remedies and Administrative Provisions, Regulation of Securities and Issuers, Regulation of Investment Advisers, Regulation of Investment Adviser Representatives and Routing: Series 63 vs 65 vs 66.
Start with Ethical Practices and Obligations and Communication with Customers and Prospects free before deciding.
NASAA Series 66
NASAA Series 66: $59 one time for 9 study modules, 69 memory cards, 100 original practice questions and 2 practice forms.
- USA Definitions & Registration Essentials — free
- IA Registration & Fiduciary Duty: SEC vs State — free
- Prohibited & Unethical Practices: Series 66 Ethics — full course
- Securities Registration & Exemptions Bootcamp — full course
- Administrator: Powers & Remedies — full course
- Suitability & Modern Portfolio Theory — full course
- Performance, Returns & Taxation — full course
- Investment Vehicle Characteristics — Series 66 — full course
- Economic Factors: Cycles, Policy & Markets — full course
The full course covers 4 topic areas of the NASAA Series 66: Laws, Regulations & Ethics, Recommendations & Strategies, Investment Vehicles and Economic Factors.
Start with USA Definitions & Registration Essentials and IA Registration & Fiduciary Duty: SEC vs State free before deciding.
NASAA Series 65
NASAA Series 65: $59 one time for 9 study modules, 88 memory cards, 130 original practice questions and 2 practice forms.
- Risk & Modern Portfolio Theory — free
- Suitability, Client Profiling & Portfolio Strategy — free
- Performance, Returns, Taxation & Retirement — full course
- IA/IAR Registration — SEC vs State — full course
- The Fiduciary Standard & Form ADV / Brochure Delivery — full course
- Prohibited & Unethical Practices + Administrator Powers/Remedies — full course
- Equity & Fixed Income — full course
- Pooled, Derivative, Insurance & Alternative Vehicles — full course
- Economics & Financial-Statement Analysis — full course
The full course covers 4 topic areas of the NASAA Series 65: Client Recommendations & Strategies, Laws, Regulations & Guidelines incl. Prohibition on Unethical Business Practices, Investment Vehicle Characteristics and Economic Factors & Business Information.
Start with Risk & Modern Portfolio Theory and Suitability, Client Profiling & Portfolio Strategy free before deciding.
One payment per course, no subscription. See the terms for refunds.