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Comprehensive courses covering every topic on all 18 FINRA and NASAA licensing exams. Study at your own pace with interactive lessons, diagrams, and practice questions.
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Securities Industry Essentials
Foundation exam covering capital markets, products, trading, and regulations
Start Course →General Securities Representative
Comprehensive exam for representatives selling a broad range of securities products
Start Course →Investment Company/Variable Contracts
Exam for representatives selling mutual funds, variable annuities, and insurance products
Start Course →Uniform Securities Agent State Law
State-level exam covering the Uniform Securities Act and state regulations
Start Course →Uniform Investment Adviser Law
Exam for individuals seeking to become investment adviser representatives
Start Course →Uniform Combined State Law
Combined exam covering both state securities agent and investment adviser representative requirements
Start Course →Investment Banking Representative
Exam for individuals involved in investment banking activities including M&A and underwriting
Start Course →Private Securities Offerings
Exam for representatives engaged in private placements and Regulation D offerings
Start Course →Research Analyst
Two-part exam for research analysts covering analysis fundamentals and regulatory standards
Start Course →Operations Professional
Exam for operations professionals handling back-office functions at broker-dealers
Start Course →Municipal Securities Representative
Exam for representatives involved in municipal securities transactions and advisory
Start Course →Municipal Advisor Representative
Exam for individuals advising state and local governments on municipal securities
Start Course →National Commodities Futures
Exam for individuals seeking to sell commodity futures and options on futures
Start Course →General Securities Principal
Exam qualifying individuals to manage or supervise a broker-dealer's securities business
Start Course →Financial and Operations Principal
Exam for individuals managing financial and operational compliance at a broker-dealer
Start Course →Municipal Securities Principal
Exam qualifying individuals to manage and supervise municipal securities activities
Start Course →Registered Options Principal
Exam qualifying individuals to supervise a firm's options trading activities and compliance
Start Course →General Securities Sales Supervisor
Two-part exam qualifying individuals to supervise sales activities at a general securities broker-dealer
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