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Any person who is engaged in the securities business of a member firm, including partners, officers, directors, branch managers, department supervisors, and salespersons, must be registered with NASD.

As part of the registration process, securities professionals must pass an examination administered by NASD to demonstrate competence in the areas in which they will work. These mandatory qualification examinations cover a broad range of subjects on the markets, as well as the securities industry and its regulatory structure, ensuring a minimum level of understanding and expertise. The areas in which candidates are tested include federal securities laws; Securities and Exchange Commission and NASD rules and regulations; securities products; the operation and interrelation of financial markets; economic theory and kinds of risk; corporate financing, accounting, and balance sheet analysis; portfolio theory and analysis; fair sales practices, including solicitation and presentation; types of customer accounts; and tax treatment of various investments.

Prospective principals of securities firms must pass additional examinations that test their knowledge of supervisory rules in the areas of investment banking, trading, and market making; retail sales activities; and financial responsibility rules. Financial and operational principals must further demonstrate a thorough knowledge of the requirements regarding recordkeeping, net capital, customer reserves, financial reporting, and credit.

NASD administers and delivers all NASD qualifications examinations as well as examinations sponsored by NYSE, NASAA, NFA, MSRB and FDIC.

General Course Structure For NASD Series

Your course is divided into three sections.

Quizzing

You may isolate a single category for study that you are weak in, or have a simulated final exam. Topical text is available. Many other features are available.

Library

A searchable, fully indexed library of online books is is available for study.

Dictionary

You have access to an industry dictionary, explaining the terms you read during a quiz.

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