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Securities Exam Training Series
4. 6. 7. 9. 10. 24. 26
55. 62. 63. 65. 66. 99



Securities Exam Training Series Exam Tips
4. 6. 7. 9. 10. 24. 26
55. 62. 63. 65. 66. 99

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6 . 7 . 10. 24. 26. 62
65. 66. 99

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Securities Training and Education FAQ
What is the difference between the series 62 exam and the series 7 exam ?
What is the difference between the series 62 exam and the series 7 exam ?





Some people refer to the series 62 exam as a series 7 lite. In some cases this is true as the exam does not test on options, municipal securities, or mutual funds. So if you are a test taker and you are not going to be transacting business in these products or if you have a series 6 exam and want to conduct business in stocks bonds and ETfs the series 62 exam may be a good solution for you.





Here are the topics covered in the series 62 exam



Characteristics of Securities & Investments 25 Questions
The Market for Corporate Securities 40 Questions
Evaluation of Securities & Investments 14 Questions
Handling Customer Accounts & Securities Industry Regulation 36 Questions



TOTAL 115 Questions




Here are the topics cover in the series 7 exam





Series 7 Exam Focus By Topic




Seeks Business for the Broker-Dealer through Customers and Potential Customers 68 questions



Evaluates Customersí Other Security Holdings, Financial Situation and Needs, Financial Status, Tax Status, and Investment Objectives 27 Questions


Opens Accounts, Transfers Assets, and Maintains Appropriate Account Records 27 Questions



Provides Customers with Information on Investments and Makes Suitable Recommendations 70 Questions



Obtains and Verifies Customerís Purchase and Sales Instructions, Enters Orders, and Follows Up 58 Questions




TOTAL 250 Questions 100%

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