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Securities courses |
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The American Institute of Financial Services is your source for Securities Learning and Education. Each year, The American Institute of Financial Services helps thousands of securities, insurance and real estate professionals build successful careers in the financial services industry.
Series 6: Investment Company Products / Variable Contacts Limited Representative
Successfully completion of your Series 6 exam and registration as an Investment Company Products/Variable Contracts Limited Representative, according to the NASD, will qualify you to perform the following transactions:
- for closed-end mutual funds in an initial offering
- for variable annuities and variable life insurance
- for unit investment trusts (UITs)
- for municipal fund securities such as local government investment pools (LGIPs)
- for 529 plans
SERIES 63 – Uniform Securities Agent
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.
Most states require the Uniform Securities Agent State Law Examination (Series 63) of individuals who will transact a securities business. This qualification requirement adds onto NASD's requirement(s).
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