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New Jersey Bureau of Securities

Examination Requirements

Registration Category Exam Requirements Exam Waiver Requirements
Broker-dealer Representatives 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.
Issuer Agents

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).

Investment Adviser Representatives1

Series 65: Uniform Investment Adviser Examination

or

Series 66: Uniform Combined State Law Examination2 

 

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.


1 Certain persons with prior experience in the securities industry may be "grandfathered."  Consult the relevant Orders of the Bureau Chief for further information.

2 The Series 7 is a co-requisite with the Series 66.

Last Modified: 3/30/2015 1:33 PM