Search results
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
For more information on registration requirements, refer to...
- FAQs
7. If I take the SIE and the Series 7 exam on the same day...
- Testing Accommodations Requests (Americans With Disabilities Act)
FINRA in compliance with the provisions of the Americans...
- 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
name and FINRA ID# (CRD # or Assigned "T" or "U" ID), phone...
- Series 82
NASD Principal Examination (P-1 - P-40) S00 or C4. --. NYSE Representative Examination. S000. NASD Principal Examination. S40. *The SIE is a corequisite for this registration (i.e., GS = SIE + S7). Registration Code Classifications.
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.
1 kwi 2024 · A FINRA license is a qualification you can earn from the Financial Industry Regulatory Authority (FINRA) to become a financial specialist such as a: Broker. Investment representative. Securities sales agent. Trader. Investment banker. Analyst.
26 gru 2023 · The FINRA Series 8 license, officially known as the General Securities Sales Supervisor Qualification Examination (GS), is a regulatory requirement for individuals supervising the sales activities of general securities representatives.
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.
2 paź 2024 · FINRA licenses include Series 6 and Series 7. The North American Securities Administrators Association (NASAA) oversees the licensing of Series 63, Series 65, and Series 66.
