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FINRA License Exam Prep
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ProSchools’ self-paced program offers the flexibility to learn on your own, when and where you want. You’ll receive all the tools needed to study at home—textbooks, quizzes, mock exams, and ready access to knowledgeable instructors via e-mail and phone.
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| Course # |
Title / Description |
Price |
311C |
Securities Series 7 |
Only $242
($269 value) |
311J |
Securities Series 63 |
Only $71
($79 value) |
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Definitions of the Programs of Study
Series 7: General Securities Representative
Prepares you to sell corporate, municipal, and U.S. government securities, options, direct participation programs, investment company products, and variable contracts.
Prerequisite: None
Topics Covered
- U.S. government and money-market securities
- Equity, debt, and municipal securities
- Options, margin, and underwriting
- Trading securities and settlement
- Client accounts
- Equity products
- Money markets
- Government bonds
- Investment companies
- Variable contracts
- Rules and regulations
- Taxation
Series 63: Uniform Securities Broker State Law
Prepares you to sell in a specific state. The exam may be required in addition to other exams. This is not needed if you obtain Series 66.
Prerequisite: None
Topics Covered
- Uniform Securities Act and federal securities laws
- Licensing and registration requirements
- Registration of securities
- Exempt securities and transactions
- Registration of broker-dealers, brokers and investment advisers
- Prohibited fraudulent and manipulative practices
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