Series Exams

Question 1

Series 79

Answer 1

Investment Banking Representative

Question 2

Series 39

Answer 2

Direct Participation Programs Limited Principal

Question 3

Series 24

Answer 3

General Securities Principal

Question 4

Series 82

Answer 4

Private Securities Offerings Representative

Question 5

Series 6

Answer 5

Investment Company and Variable Contracts Products Representative

Question 6

Series 57

Answer 6

Securities Trader Representative

Question 7

Series 51

Answer 7

Municipal Fund Securities Limited Principal

Question 8

Series 27

Answer 8

Financial and Operations Principal

Question 9

Series 14

Answer 9

Compliance Officer

Question 10

Series 9/10

Answer 10

General Securities Sales Supervisor

Question 11

Series 52

Answer 11

Municipal Securities Representative

Question 12

Series 53

Answer 12

Municipal Securities Principal

Question 13

Series 4

Answer 13

Registered Options Principal

Question 14

Series 26

Answer 14

Investment Company Products/Variable Contracts Limited Principal

Question 15

Series 16

Answer 15

Supervisory Analyst

Question 16

Series 7

Answer 16

General Securities Representative

Question 17

Series 99

Answer 17

Operations Professional

Question 18

Series 22

Answer 18

Direct Participation Programs Limited Representative