Securities Training Corporation Courses
The following courses are offered by Securities Training Corporation. For more information, visit the Corporation's website.
Series 6: Investment Company Products/Variable Contracts Representative Examination
For those who will be selling only investment company products (e.g., mutual funds, money-market funds) and variable contracts for an NSAD broker-dealer. Topics include: securities markets, investment risks and policies, investment companies, taxation, customer accounts, variable contracts and retirement plans, and securities industry regulations.
The CPA Center, Rocky Hill, Connecticut
May 2-3, 2007, July 18-19, 2007
Northeastern University, Boston, Massachusetts
April 4-5, 2007, May 9-10, 2007, June 6-7, 2007
Bryant College, Smithfield, Rhode Island
April 11-12, 2007, June 27-28, 2007
Series 7: General Securities Representative Examination
Covers the solicitation, purchase, and/or sale of a broad range of investment products, including stocks, bonds, mutual funds, municipal securities, options, and direct participation programs. Also examines: debt securities, investment banking, securities analysis, margin, and self-regulatory organizations (SROs).
The CPA Center, Rocky Hill, Connecticut
One-Week Review: April 23-27, 2007, June 4-8, 2007, July 23-27, 2007
Northeastern University, Boston, Massachusetts
One-Week Review: May 7-11, 2007, June 11-15, 2007
Two-Week Evening Review: June 19-28, 2007
Bryant College, Smithfield, Rhode Island
One-Week Review: May 21-25, 2007
Series 24: General Securities Principal Examination
For individuals who supervise the general securities activities of an NASD member firm. This course covers: supervision of investment banking activities, market-making activities, brokerage office operations, regulatory framework of the NASD, and compliance with financial responsibility rules.
Northeastern University, Boston, Massachusetts
May 2-3, 2007, July 11-12, 2007
Series 63: Uniform Securities Agent State Law Examination
Covers state laws and regulations, as well as registration requirements for brokers-dealers, agents, and investment advisers. Topics include fraudulent practices and regulatory oversight.
Northeastern University, Boston, Massachusetts
April 10, 2007, June 19, 2007
Series 65: Uniform Investment Adviser Law Examination
Designed for individuals who must satisfy state investment adviser requirements. It focuses on federal securities laws, general securities, the Uniform Securities Act, and unethical business practices of investment advisers.
Northeastern University, Boston, Massachusetts
April 11-12, 2007, June 20-21, 2007
Series 66: Uniform Combined State Law Examination
Combines material included in the Series 63 and 65 exams. Some state require candidates to take just one test that dually registers them as an agent of a broker-dealer and also as a representative of an investment adviser. Those interested should consult with their firm’s Compliance Department or State Securities Regulator to see if Series 66 is available in their particular state or states.
Northeastern University, Boston, Massachusetts
February 13, 2007, April 10, 2007, June 19, 2007
Prices
| Item | CPE Credits | CSCPA Member Fee | Retail Fee |
| Series 6 | 12 | $187 | $207 |
| Series 6 Prep | $20 | $20 | |
| Series 7 | 30 | $342 | $387 |
| Series 7 Prep | $35 | $35 | |
| Series 24 | 10 | $332 | $387 |
| Series 63 | 3 | $92 | $112 |
| Series 65 | 10 | $242 | $262 |
| Series 66 | 6 | $187 | $207 |
