Securities and NASD Exam Courses

Securities and NASD Exam Prep Courses

At the Professional School of Business we offer a variety of securities course formats for you to choose from. For Series 6 and Series 63 you can choose from classroom instructor-led courses, self-study book based, or self-study online courses. Series 7, 24, 26 and others are offered as self-study book based or self-study online courses.

Most of our students need the Series 6 - Investment Company Products/Variable Contracts Representative Examination. New Jersey Life Insurance Producers may not transact business regarding contracts on a variable basis* unless they also hold the variable life and variable annuity authority. This authority requires a Series 6 securities license.

For Series 6 exam preparation we recommend our classroom instructor-led training. Using this method of exam preparation will allow you to interact with an instructor to get the most complete training possible while earning 18 New Jersey Insurance Producer continuing education credits at the same time. Great exam preparation and CE credit makes this the preferred method of training for most students. See course dates below.

The Series 63 Uniform Securities Agent State Law Examination covers the principles of state securities regulation reflected in the Uniform Securities Act (with the amendments adopted by NASAA and rules prohibiting dishonest and unethical business practices). The examination is intended to provide a basis for state securities administrators to determine an applicant's knowledge and understanding of state law and regulations. Some states (not New Jersey) require this test as a condition of registration as a registered representative**. These states require the Series 63 exam in addition to a national product exam such as Series 6. Although New Jersey does not require this exam, you may want to take it for mobility purposes. If you relocate to another state or if you do business with customers in states other than New Jersey, you are likely to require Series 63 also.

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Series 6 Please check back later for next class

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New Jersey licensed insurance producers will also receive 18
continuing education credits upon completion of the Series 6 course

There is no school exam required for this course. The NASD licensing exam consists of 100 multiple choice questions; 2 hours and 15 minutes testing time. This examination qualifies an individual who will function as a Registered Representative** for the solicitation, purchase, and/or sale of redeemable securities of companies registered pursuant to the Investment Company Act of 1940; securities of closed-end companies registered pursuant to the Investment Company Act of 1940 during the period of original distribution only; and variable contracts and insurance premium funding programs and other contracts issued by an insurance company.

Students interested in the Series 6 Course often need a Life Insurance Producers license as well

Series 63
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New Jersey licensed insurance producers will also receive 7
continuing education credits upon completion of the Series 63 course

There is no school exam required for this course. The NASD licensing exam consists 60 multiple choice questions; 1 hour and 15 minutes testing time. The examination covers the principles of state securities regulation reflected in the Uniform Securities Act.

*Contract on a variable basis means any separate account contract providing for the dollar amount of life insurance or annuity benefits or other contractual payments or values thereunder to vary so as to reflect investment results of one or more separate accounts in which amounts with respect to any such contracts shall have been placed

**A registered Representative is a person associated with an NASD member firm, including assistant officers other than principals, who are engaged in the investment banking or securities business for the member including the functions of supervision, solicitation, or conduct of business in securities or who are engaged in the training of persons associated with a member for any of these functions, are designated as representatives.

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