Search results
NASD Announces Exemption from the Analysis Portion of the Research Analyst Qualification Examination (Series 86) for Certain Applicants Who Prepare Only "Technical Research Reports"
The following is a list of the U.S. Financial Industry Regulatory Authority (FINRA), NASAA, and National Futures Association (NFA) financial securities examinations. Most FINRA examinations are divided into two categories: Registered Representative and Registered Principal levels.
After a candidate is enrolled to take an exam, FINRA will post a 120-day window in which the exam must be taken. Candidates can schedule an appointment with Prometric, our test delivery vendor, to take their exam at a local test center (or for select exams, delivered online with a remote proctor).
Beginning June 9, 2023, candidates will need an approved accommodation to schedule an online appointment for an NFA or FINRA exam (other than the SIE). Online appointments scheduled to be taken after Sept. 9, 2023, will be canceled if the candidate does not have an approved accommodation.
30 maj 2024 · This detailed guide will walk you through all the FINRA exams, from the introductory Securities Industry Essentials (SIE) exam to the more advanced principal-level and specialty exams.
Implementation and Amendment Dates of Qualification Examinations. Title. Effective Dates. Securities Industry Essentials (SIE) Exam. 10/2018 – present. Series 3 – National Commodities Futures Exam. 1966 – present. Series 4 – Registered Options Principal Exam. 04/1975 – present.
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...
