I’m considering taking series 7 and 63 in my spare time, as at some point might decided to move to US. Currently in a licensed role in HK and also had to do PRA exam for an assignment in Ldn.
Can you advise how much time I’d have to reasonably spend on it? Any prep provided you recommend?
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You can do it shorter if you take leave and focus on it, but the norm is at least 6 weeks of study
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Securities Training Corporation provides good prep materials. But not sure if you can take those FINRA exams in HK
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Just checked and it seems you can take it in the same venue in HK as CFA exams (third party organized exams, venue is gov approved testing center).
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Is there any way of bypassing the sponsorship requirements of the Series 7 exam or any other FINRA/SEC sponsorship required exams.
Just ask Gemini 3.1 Pro, bruder
I asked Grok 4.3 for you:
No, there is no legitimate way to bypass the sponsorship requirement for the Series 7 exam (or most other FINRA representative-level qualification exams).
FINRA explicitly requires that candidates for exams like the Series 7 (General Securities Representative) be associated with and sponsored by a FINRA-member firm (or certain other SRO member firms). This involves the firm filing Form U4 on your behalf to open a registration window. You cannot register or sit for the exam independently as a private individual.
This rule stems from FINRA Rule 1210 (Registration Requirements), which ties exam eligibility and registration to active association with a member firm for supervision and regulatory accountability purposes.
Thank you very much for letting me know! I really appreciate you taking the time to reply.