アメリカの金融資格は、ほかにも沢山あります。
シリーズ７を合格したら、自分のキャリアアップ、給料アップなど様々な目的のために、自分で試験を選択し、受験することができます。もちろん登録証券会社の意向にあわせる必要もありますが、その価値はあります。またシリーズ63のように、アメリカで米国籍客を相手に仕事をするにはすぐに必要な追加試験もあります。
シリーズ24
合格の勢いで次に欲しい資格はコレ。上級資格です。極端な言い方をすれば、シリーズ24保有者が2名いれば、証券会社ができてしまいます。支店長や給料・待遇アップの基本資格ともいえます。実務経験がないと後で少し大変かも。
シリーズ55
接客よりも株式トレーダーがやりたい。という方はコレ。アメリカではそれぞれの業務に合わせた資格があり、合格しなければその職について業務ができません。証券会社でトレーダーやディーラーの求人募集がありますが、この資格に合格しなければなりません。
150 multiple choice questions; 3 hours and 30
minutes testing time. This examination qualifies
individuals required to register as general securities
principals in order to manage or supervise the member's
investment banking or securities business for corporate
securities, direct participation programs, and
investment company products/variable contracts. The
Series 24 does not qualify an
individual to function as a:
Investment Company Products/Variable Contracts Limited
Representative - (Series 6)
Uniform Combined State Law Examination - (Series
66) (NASAA)
200 multiple choice questions. The testing time is 1
hour and 30 minutes for the Series 9, which contains 55
options questions. Four (4) hours are allowed for the
Series 10, which has 145 questions covering FINRA, New
York Stock Exchange, Municipal Securities Rule Board,
and Securities and Exchange Commission rules. This
registration is appropriate for individuals required to
register as principals to supervise sales activities in
corporate, municipal, and options securities, investment
company products, variable contracts, and direct
participation programs. In addition to branch office
managers, regional and national sales managers may also
register in this capacity.
100 multiple choice questions; 2 hours and 30 minutes
testing time. The Series 23 is designed to test a
candidate’s knowledge of the rules and statutory
provisions applicable to the management of a general
securities broker/dealer. Series 23 examination program
allows persons associated with FINRA members who are
registered as General Securities Sales Supervisors and
who are seeking to register and qualify as General
Securities Principals an alternative to completing the
Series 24. The Series 23 examination covers material
from the Series 24 examination not otherwise covered
under the Series 9/10 examination.
110 multiple choice questions; 2 hours and 30
minutes testing time. This examination qualifies an
individual who will function as a principal for the
solicitation, purchase, and/or sale of redeemable
securities of companies registered pursuant to the
Investment Company Act of 1940; securities of closed-end
companies registered pursuant to the Investment Company
Act of 1940 during the period of original distribution
only; and variable contracts and insurance premium
funding programs and other contracts issued by an
insurance company.
145 multiple choice questions; 3 hours and 30
minutes testing time. The Series 27 is designed to test
a candidate's knowledge and understanding of financial
responsibility rules and recordkeeping requirements.
Introducing Broker/Dealer Financial and Operations
Principal - (Series 28)
95 multiple choice questions; 2 hours testing time. This
examination is required for the individual responsible
for the recordkeeping requirements of introducing firms
that do not carry customer accounts or hold customer
funds or securities.
Direct
Participation Programs Limited Principal - (Series 39)
100 multiple choice questions; 2 hours and 15 minutes
testing time. This qualifies an individual who will
function as a principal for the solicitation, purchase,
and/or sale of programs that provide for flow-through
tax consequences, such as oil and gas programs, real
estate programs, and S corporation offerings.
Municipal Fund Securities Principal (Series 51)
60 multiple choice questions; 1 hour and 30 minutes
testing time. This examination is designed to test a
candidate’s knowledge of the rules and statutory
provisions applicable specifically to municipal fund
securities and the supervision of the activities of
registered representatives effecting municipal fund
securities transactions (e.g. 529 College Savings Plans,
Local Government Investment Pools (LGIPs).
Municipal Securities Principal - (Series 53)
100 multiple choice questions; 3 hours testing time.
This examination is designed to test a candidate's
knowledge of the rules and statutory provisions
applicable to a municipal securities broker or dealer
and to the supervision of the activities of municipal
securities representatives. This exam also enables
the principal to supervise municipal fund securities
(e.g., 529 College Savings Plans, Local Government
Investment Pools (LGIPs)).
一般・個別資格
試験概要
100 multiple choice questions; 2 hours and 15 minutes
testing time. See description of products covered by
this registration under the Series 26 description.
Assistant Representative - Order Processing - (Series
11)
50 multiple choice questions; 60 minutes testing time.
This examination is designed for persons associated with
a member who accept unsolicited customer orders
for submission for execution by a member. They cannot
accept orders for municipal securities or direct
participation programs.
Direct
Participation Programs Limited Representative - (Series
22)
100 multiple choice questions; 2 hours and 15 minutes
testing time. See the description of the products
covered by this registration under the Series 39
description.
Registered Options Representative - (Series 42)
50 multiple choice questions; 1 hour and 30 minutes
testing time. Questions on handling option accounts,
equity, debt, foreign currency, and index options are on
each test. This registration requires a concurrent
registration as a Corporate Securities Limited
Representative (Series 62). The Series 62 co-requisite
is necessary to demonstrate functional understanding of
the securities products underlying the option contract.
Municipal Securities Representative - (Series
52)
100 multiple choice questions; 3 hours testing time. In
addition to municipal securities, municipal fund
securities (e.g., 529 College Savings Plans, Local
Government Investment Pools (LGIPs)) and municipal
markets, this examination covers U.S. government,
federal agency, and other financial instruments,
economic activity, government policy, the behavior of
interest rates, and applicable federal securities laws
and regulations.
100 multiple choice questions; 3 hours testing time.
Registered representatives in this category may trade
equity and convertible debt securities on a principal or
agency basis. The Series 7 (including the foreign
modules) or the Series 62 is the prerequisite to the
Series 55.
Corporate Securities Limited Representative - (Series
62)
115 multiple choice questions; 2 hours and 30 minutes
testing time. This examination qualifies an individual
as a representative for the sale of public offerings
and/or private placements of corporate stocks, corporate
bonds, rights, warrants, real estate investment trusts,
collateralized mortgage obligations, and securities of
closed-end companies registered pursuant to the
Investment Company Act of 1940, repos and certificates
of accrual on corporate securities; securities traders;
corporate financing; ETFs, and hedge funds.
Government Securities Limited Representative - (Series
72)
100 multiple choice questions; 3 hours testing time.
Registered representatives in this limited category of
registration are permitted to transact a member's
business in Treasury securities, government agency
securities, and mortgage-backed securities.
Limited
Representative - Investment Banking (Series 79)
175 multiple choice questions; 5 hours testing time.
This examination qualifies an individual to advise on or
facilitate debt or equity offerings through a private
placement or public offering or to advise or facilitate
mergers or acquisitions, tender offers, financial
restructurings, asset sales, divestitures or other
corporate reorganizations or business combination
transactions.
Limited
Representative-Private Securities Offerings
Representative - (Series 82)
100 multiple choice questions; 2 hours and 30 minutes
testing time. This examination qualifies an individual
for the sale of private placement securities as part of
a primary offering.
There are 100 multiple choice questions on the Series 86
and the testing time is 4 hours, which test fundamental
analysis and valuation of equity securities. The
testing time for the Series 87 is 1 hour and 30 minutes
with 50 questions that cover FINRA and New York Stock
Exchange rules, the Securities Act of 1933 and the
Securities Exchange Act of 1934. This exam is
appropriate for individuals who produce written or
electronic communications that analyze equity securities
or individual companies/industry sectors, and provide
reasonably sufficient information upon which to base
investment decisions.
その他の資格
試験概要
National Commodity Futures Examination - (Series
3)
120 multiple choice questions; 2 hours and 30
minutes testing time. This examination is required for
registration by the National Futures Association.
Branch Managers Examination - Futures - (Series
30)
50 multiple choice questions; 60 minutes testing time.
This examination is required by the National Futures
Association.
Futures Managed Funds Examination - (Series 31)
45 multiple choice questions; 60 minutes testing time.
This examination is required by the National Futures
Association.
Limited Futures Exam - Regulations - (Series 32)
35 multiple choice questions; 45 minutes testing time.
This examination is required by the National Futures
Association.
Uniform Securities Agent State Law Examination -
(Series 63) (NASAA)
60 multiple choice questions; 1 hour and 15 minutes
testing time. The Series 63 is designed to qualify
candidates as securities agents. The examination covers
the principles of state securities regulation reflected
in the Uniform Securities Act.
Uniform Investment Adviser Law Examination -
(Series 65) (NASAA)
130 multiple choice questions; 3 hours testing time.
The Series 65 is designed to qualify candidates as
investment adviser representatives.
100 multiple choice questions; 2 hours and 30
minutes testing time. The Series 66 is designed to
qualify candidates as both securities agents and
investment adviser representatives. The Series 7
is a corequisite exam that needs to be successfully
completed in addition to the Series 66 exam before a
candidate can register with a state.
Compliance Officer - (Series 14)
110 multiple choice questions; 3 hours testing time.
This examination is required by the New York Stock
Exchange. The Series 14 Examination is a
qualification examination intended to insure that the
individuals designated as having day-to-day compliance
responsibilities for their respective firms or who
supervise ten or more people engaged in compliance
activities have the knowledge necessary to carry out
their job responsibilities.
* FINRA（金融業界監督機構）より抜粋。
