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Requirements | Securities

  1. General Requirements
  2. Exam Preparation
  3. Exam Information
  4. Additional Information

  1. General Requirements
    We recommend attending an education program designed to prepare you for your new career.

    1. You must register with a NASD member firm.
    2. Your sponsoring firm must complete and file your U-4 form, fingerprint card for your required background check, and appropriate testing and registration fees to the NASD.
    3. Upon receipt of your application and fees, the NASD will send your sponsoring firm an enrollment confirmation, which will be valid for 90 days.
    4. You must pass your NASD licensing examination. For more information please visit www.NASD.com.

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  2. Exam Preparation
    Although there are no educational requirements for the Series 6, Series 7, or Series 63 licenses, proper preparation using exam preparation courses and Hondros College's CompuCram exam practice software will increase your chance of passing your exam the first time.

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  3. Exam Information
    In order to take an examination your sponsoring firm must have filed an application and an examination fee with the NASD.  The NASD will send confirmation of enrollment which will allow you to schedule your exam at one of the testing centers below.

    Thomson Prometric Testing Centers (1-800-578-6273)

    Pearson Professional Centers (1-866-396-6273)

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  4. Additional Information
    Please note that if you do not schedule and pass your exam during your 90 day eligibility period you will need to re-file your application and retake your examination.

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