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Entry level
SIE
Securities Industry Essentials — common first exam.
Coming soon
Series
Series 6
Investment company products.
Coming soon
Series
Series 7
General securities representative registration.
Coming soon
Principal
Series 24
General securities principal.
Coming soon
Series
Series 57
Securities trader representative.
Coming soon
Series
Series 63
Uniform securities agent state law.
Series
Series 65
Uniform investment adviser law.
Coming soon
Series
Series 66
Combined state and uniform IA law.
Coming soon
Series
Series 79
Investment banking representative.