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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 measures the degree to which each...
- FAQs
Yes. To become a registered representative, you must pass...
- 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
The Series 4 exam — the Registered Options Principal Qualification Exam (OP) — assesses the competency of an entry-level principal to perform their job as a registered options principal.
20 sty 2023 · The Series 4 is an exam and securities license entitling the holder to supervise options sales personnel and compliance issues. It covers topics such as options strategies, foreign exchange...
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.
1 kwi 2024 · The Series 4 exam is three hours and 25 minutes, has 125 questions and costs $105 dollars. Requirements include: Association with and sponsorship from a FINRA member or SRO
Introduction. The Registered Options Principal (ROP) Qualification Examination is designed to test a candidate’s knowledge of the rules and statutory provisions applicable to the supervisory management of a firm's options personnel and options accounts.
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.
