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1. www.finra.org › registration-exams-ce › manage-your-careerMaintaining Your Registration - FINRA.org

   www.finra.org › registration-exams-ce › manage-your-career

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   You can access the Regulatory Element through an online CE platform available by logging in to FinPro (the Financial Professional Gateway). Failure to complete the Regulatory Element by Dec. 31 each year will result in your registration becoming inactive (CE Inactive).

2. www.finra.org › registration-exams-ce › broker-dealersAnnual Renewal Program - FINRA.org

   www.finra.org › registration-exams-ce › broker-dealers

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   Firms are required annually to renew their FINRA, other self-regulatory organization (SRO) and state/jurisdiction registrations through the annual Renewal Program, which begins in the fourth quarter of each year.

3. www.investopedia.com › articles › financialcareersWhat Are Financial Securities Licenses? - Investopedia

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   2 paź 2024 · Financial securities licenses like Series 7 and Series 63 are required by individuals who market and sell investments or securities.

4. www.investopedia.com › terms › sSeries 9/10: Overview, Sample Questions, Similar Tests -...

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   25 sty 2021 · The Series 9/10 exams are administered by the Financial Industry Regulatory Authority (FINRA) and were formerly known as the Series 8 Exam. As the name would suggest, the exam is broken...

5. www.finra.org › registration-exams-ce › continuing-educationThe Maintaining Qualifications Program (MQP) | FINRA.org

   www.finra.org › registration-exams-ce › continuing-education

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   FINRA’s Maintaining Qualifications Program (MQP) allows eligible individuals to maintain their qualifications for up to five years by completing continuing education (CE) annually. Program dates and details are provided on the page below.

6. www.investopedia.com › ask › answersWhat Licenses Do Financial Advisors Need to Have? - Investopedia

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   26 cze 2024 · Every state requires a Series 63 license for financial advisors to conduct business within its borders. This is an exam you must pass in addition to the Series 7 or Series 6.

7. www.nasaa.org › verify-a-licenseVerify a License - NASAA

   www.nasaa.org › verify-a-license

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   NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION ™750 First Street NE, Suite 990 Washington, DC 20002 202-737-0900