|
Steve's Words..
check his latest
offering here..
From the Founder
Anti-Money Laundering
Forex Information
Excellence Award
Tips for healthy trading
FAQs (email)
Articles
Series Three Info
CTA and CPO info
NFA style Field Audits
IB & Branch setup
Consulting
Career Placement
Privacy Policy
Award page
Items you need to improve and protect your FCM or IB...
1.
Very important and useful forms and letters for
different applications for the FCM and the Introducing Broker. Visit our
"forms" page.
|
For all you aspiring to
succeed in passing your securities license exams and progressing through the
various requirements, this is the place you just have to visit.
Mr. Jim Koon is a long-time
friend and associate of ours. When a home study course is needed for
any of the securities exam including the series 3, you cannot find better
study material than that of Securities Exam Preparation. We have
referred over 60 people to Jim and have received at least 50 emails or phone
calls telling us how professional and accommodating he is. The most
frequent comment is that Securities Exam Preparation's material was the
easiest, most thorough course they have ever taken. The pass rate from
those who use Jim's material is also very high.
Below is a brief list of
the study material he has, but there is so much more that Securities Exam
Preparation has to offer, and you really should visit his website. You
can get to his website from
here.
Publishing and Professional
Information Services
Securities Exam Preparation, Inc., established in 1972, is a
consulting organization specializing in self-study test preparation for
FINRA, NASAA, and NFA exams -- and in registration services for Investment
Advisers, Broker Dealers, Commodity Trading Advisers, and Introducing
Brokers.
Proficiency exams, administered by FINRA (NASD) through
Prometric and Pearson VUE Testing Centers, are assigned numbers and are
classified into registered representatives, registered principals, and
state-required exams.
FINRA Registered Representative exams include: Series 5,
Series 6, 7, 11, 22, 52, and 62. The New York Stock Exchange
Series 7 is often referred to as "the stockbroker exam". If you are
looking to get your
Series
7 license you should check out our
Smart 7 on the Web program for your Series 7 test preparation.
FINRA Registered Principal exams consist of: Series 4, 23,
24, 26, 27, 28, 51, 53, and 55 exams. The series 9/10 and 14 are the NYSE's
Branch Manager and Compliance Official exams, respectively.
NASAA state registration and Investment Adviser tests
include:
Series 65, 66 and 63. For those looking for a complete on-line Series
63 or Series 66 study program you should check out our "
Smart 63 " and "
Smart 66 " on the web programs.
National Futures Association, or commodity futures, tests
include:
Series 3,
30,
31, and 32. The futures branch manager exam is the Series 30.
Registration services are
coordinated through Securities Exam's affiliates for Registered Investment
Advisors (RIA),
Broker-Dealers (B/D),
Commodity Trading Advisors (CTA),
and Hedge Funds. Assistance is also provided for futures firms for the
development of Anti-Money Laundering ("AML") programs and ethics training
that need to be FCM specific.
Through Securities Exam's test preparation programs, and
with the use of specialized affiliates, exam study materials come in an
easy-to-read, specially-designed, self-study form. The programs, when
necessary, can be supplemented with practice tests and exams on Windows©
style disks.
All study programs are specifically designed for
a self-study approach. Special "in house" company seminars, however,
can be arranged. Have your compliance officer contact us for pricing.
Get in touch with us by
email.
THERE IS RISK OF LOSS IN TRADING
FUTURES... LOTS OF IT!!
Email us with questions or comments about
this website.
Copyright 1995 /2008 Investment Reference, Inc.
Last modified:
April 05, 2008
|
