Series Exams
What are Series Exams?
The Series exams are a group of exams run by the Financial Industry Regulatory Authority (FINRA). Different exams are required / desirable for different financial roles, i.e:
- 系列55– Equity Trading
- 系列56- 道具交易
- Series 79– Investment Banking
- Series 86- 股票研究
大多数考试（包括上面列出的考试）都需要公司的赞助。不需要赞助的人是：
- Series 3 - National Commodity Futures
- 系列30-分支机构期货经理
- Series 31 - Futures Manage Funds
- Series 63 - Uniform Securities Agent State Law
- Series 65 - Uniform Registered Investment Adviser Law
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