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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
1 paź 2015 · 12:45 p.m. – 1:45 p.m. This session presents information around the proposal to restructure FINRA’s representative qualification examinations and the transition to Web delivery of the Regulatory Element Continuing Education (CE) program.
Complete List of Series Investing Exams. Here is a list of the most important series exams for your financial and investing career: Series 3 – Commodity Futures Examination. Series 4 – Registered Options Principal. Series 5 – Interest Rate Options Examination. Series 6 – Investment Company and Variable Contracts Products Rep.
30 maj 2024 · The Series 86/87 exams are for research analysts, covering financial analysis, valuation, and compliance aspects of research activities. Duration: 4 hours and 30 minutes; 1 hour and 45 minutes. Questions: 85; 50. Cost: $225; $150.
25 sty 2021 · What Is Series 9/10? Series 9/10 refers to a two-part securities exam and license entitling the holder to supervise sales activities at a general securities-oriented branch office.
The Series 7 exam — the General Securities Representative Qualification Examination (GS) — assesses the competency of an entry-level registered representative to perform their job as a general securities representative.
Before taking the Series 24 exam, a candidate must have passed the SIE plus one of the following: Series 7, Series 57, Series 79, Series 82, Series 86 and 87, or Series 16. The candidate must also be associated with and sponsored by a FINRA member company or a self-regulatory organization.
