Series 162 study support for Part II of the Supervisory Analyst qualification, including route fit, report-review priorities, study planning, and exact practice.
Use this guide root when you are preparing for Part II of the Supervisory Analyst qualification. Series 162 is the report-review half of the Series 16 path. It focuses on assessing the accuracy, consistency, sources, calculations, and analytical basis behind research reports rather than on the broader communications-review workflow covered in Part I.
The current Part II configuration uses two functions led heavily by reviewing whether a reasonable basis exists for the analyst’s conclusions. Treat it as a research-report quality and analytical-basis exam. The strongest candidates think in terms of evidence, support, and defensibility.
Where Series 162 fits
If your role sounds most like…
Better route
supervisory review of research report content and analytical basis
Series 162
supervisory review of research communications approval workflow
Series 161
full research analyst qualification path
Series 86/87, not Series 162 alone
broad principal supervision
Series 24
What this guide is for
Use this guide to confirm route fit, understand the weighted outline, and decide how to use exact practice after the report-review frame is clear. Series 162 rewards candidates who can test whether the report is internally sound and whether the analyst’s conclusions are adequately supported.
Learn how Series 162 tests source attribution, source credibility, calculation integrity, financial statement reconciliation, accounting treatments, comparability adjustments, and market-data verification in research reports.
Learn how Series 162 tests model architecture, valuation logic, recommendation alignment, thesis support, economics, fixed income, company and industry analysis, ratios, risk measures, and technical indicators as support for research conclusions.
Common questions about FINRA Series 162, including how it fits inside Series 16, what Part II tests, the CFA Level I exemption note, and practical study strategy.