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The Series 16 exam — the Supervisory Analyst Qualification Exam (SA) — assesses the competency of an entry-level principal to perform their job as a supervisory analyst.
Qualification Exams. FINRA, the MSRB, NASAA and NFA have extended qualification exam windows for individuals in areas affected by Hurricanes Helene and Milton. Impacted individuals in these areas with exam windows that recently expired or are due to expire between October 9, 2024, and October 26, 2024, have been extended to December 14, 2024.
The Series 16 Examination is designed to assess the competency of entry-level Supervisory Analysts. It is intended to safeguard the investing public by helping to ensure that Supervisory Analysts are competent to perform their jobs.
The Series 16 exam is a computer-based test consisting of 100 multiple-choice questions. It is divided into two parts: Part 1 (50 questions) on regulatory administration and Part 2 (50 questions) on research report content. Each part is timed separately, with a total exam duration of 4 hours.
FINRA Series 16. This exam has two parts both of which assesses the ability of a candidate to perform the critical functions of a supervisory analyst, including tasks that involve rules and statutory provisions applicable to the preparation and approval of research reports.
NASD, the predecessor of FINRA, founded the NASDAQ (National Association of Securities Dealers Automated Quotations) stock market in 1971. In 2006, NASD demutualized from NASDAQ by selling its ownership interest.
27 lip 2024 · The National Association of Securities Dealers (NASD) was a self-regulatory organization of the securities industry and a predecessor of FINRA.
