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The Series 16 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the knowledge required. The outline is comprised of the four major job functions of a supervisory analyst in two parts: Regulations (Series 161) and Valuation of Securities (Series 162), and their corresponding job functions.
The Series 16 Examination is designed to assess the competency of entry-level Supervisory Analysts. It is intended to safeguard the investing public by helping to ensure that Supervisory Analysts are competent to perform their jobs.
International Business and Culture Exam 1. During this class, we will synthesize unique aspects of a nation's institutions and cultural characteristics to create a mind map of the country's _______________. Click the card to flip 👆. socio-cultural business environment. Click the card to flip 👆.
The Series 16 exam is considered to be of medium difficulty. The Series 16 exam pass rate is not published, but is estimated to be 50% - 60%. Candidates must correctly answer 36 of 50 questions to achieve a passing score of 72%. Series 16 exam info and key stats.
Qualification Exams. To become registered, securities professionals must pass qualifying exams administered by FINRA to demonstrate their competence in the particular securities activities in which they will work. An individual must pass the exams prior to engaging in those areas of the business.
The following is a list of the U.S. Financial Industry Regulatory Authority (FINRA), NASAA, and National Futures Association (NFA) financial securities examinations. Most FINRA examinations are divided into two categories: Registered Representative and Registered Principal levels.
In the United States, the Series 7 exam, also known as the General Securities Representative Exam (GSRE), is a test for entry-level registered representatives, that demonstrates competency to buy or sell security products such as corporate securities, municipal securities, options, direct participation programs, investment company products and ...
