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Broker-dealer Representatives1 |
Series 63: Uniform Securities Agent State Law Examination
and
Series 6: Investment Company Products/Variable Life Contracts Representative Examination
or
Series 7: General Securities Representative Examination
| A waiver may be granted on the basis of knowledge, training, and experience. A waiver requires at least two years of securities related experience and an absence of regulatory problems. |
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Issuer Agents | Series 63: Uniform Securities Agent State Law Examination and
Series 7: General Securities Representative Examination | See N.J.A.C. 13:47A-4.3(a) and N.J.A.C. 13:47A-4.3 (c) for issuer agents. A waiver can be requested by completing NJBOS Form 5(a). |
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Investment Adviser Representatives2 |
Series 65: Uniform Investment Adviser Examination
or
Series 66: Uniform Combined State Law Examination3
| A waiver may be granted on the basis of knowledge, training, and experience. There is a minimum of two years of advisory experience in the securities field required. The Bureau Chief may waive these examinations for persons with the designations CFP, ChFC, PFS, CFA, and CIC. A waiver may be requested by letter to the Bureau Chief. |
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1 Other exams may qualify for agent registration. Call the Bureau for additional information.
2 Certain persons with prior experience in the securities industry may be "grandfathered." Consult the relevant Orders of the Bureau Chief for further information.
3 The Series 7 is a co-requisite with the Series 66.