Do I need to be sponsored by a broker-dealer to take the Series 65 or Series 66 exam?

If you are not currently registered with a broker-dealer, you do not need to be sponsored by a broker-dealer to take the Series 65 or Series 66 exams. These exams were developed by the North American Securities Administrators Association (“NASAA”) to test competency. The exams are only administered through FINRA and individuals can register online by completing Form U10 on the FINRA website. Registered representatives of broker-dealers are required to register through their firms using Form U4.