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Qualification Exams. To become registered, securities professionals must pass qualifying exams administered by FINRA to demonstrate their competence in the particular securities activities in which they will work. An individual must pass the exams prior to engaging in those areas of the business.
- Series 82
For more information on registration requirements, refer to...
- FAQs
Following are FAQs about the Securities Industry Essentials®...
- Testing Accommodations Requests (Americans With Disabilities Act)
All testing sites are wheelchair accessible for persons with...
- Permitted Activities and Other Facts About Qualification Exams
The following pages will be useful to registration managers...
- Qualification Exam Waivers and Exemptions
FINRA may grant waivers, in exceptional cases, or exemptions...
- Frequently Asked Questions Related to Back-to-back Scheduling
The appointment times will follow one another. For example,...
- Finra Qualification and Registration Requirements Frequently Asked Questions
The FINRA qualification and registration requirements are...
- Schedule an Exam
the name of the exam or its identifying series ID (e.g.,...
- Series 82
To become a financial advisor in New York, you’ll need to register an independent investment adviser (IA) firm or secure employment as an investment adviser representative (IAR) with an established New York-registered IA.
26 gru 2023 · The FINRA Series 8 license, officially known as the General Securities Sales Supervisor Qualification Examination (GS), is a regulatory requirement for individuals supervising the sales activities of general securities representatives.
10 mar 2021 · Personnel for certain investment advisers and solicitors with natural person clients in New York will have to meet new registration and examination requirements. Affected persons must be approved before December 2, 2021, to continue conducting investment advisory business in New York state.
Information for broker-dealer and securities registration. Statutory authority General Business Law (GBL), Article 23-A, section 359-e and section 359-f and Supplementing Department Regulations, New York Codes, Rules, and Regulations (NYCRR), title 13, part 10: Brokers, Dealers, and Salespersons.
8 lut 2021 · Certain principals of state-registered investment advisers, as well as their investment adviser representatives and solicitors, are now required to register and comply with exam requirements in New York.
28 sty 2021 · Key Points. Beginning February 1, new and amended rules will go into effect in New York that require certain individuals associated with investment advisers to register with the state and to meet examination requirements (or qualify for exemptions therefrom).
