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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
The Series 82 exam — the Private Securities Offerings...
- 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
An easy-to-understand six chapter print self-study manual based upon the FINRA Series 10 content outline. In addition, a PDF version of the study manual is also included and can be downloaded through our online learning portal.
Whether you want to pass the Securities Industry Essentials ® (SIE ®) exam or meet the IAR CE requirements we have everything you need to feel confident on exam day and advance your career. IMPORTANT: Kaplan’s Packages containing Live Online Classes will be taught via Zoom.
2 paź 2024 · Financial securities licenses like Series 7 and Series 63 are required by individuals who market and sell investments or securities.
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...
FINRA-certified brokers have registered and undergone stringent Qualification Exams. They are also required to complete ongoing Continuing Education (CE) programs each year to ensure industry standards and practices are maintained. It’s all part of our shared goal of ensuring market integrity and investor protection.
Financial Learning Experience™ (FLEX™) is a centralized continuing education (CE) platform that provides e-learning content that firms have the option to leverage for their Firm Element or other training needs. At launch, the platform will include courses from FINRA’s e-learning catalog.
