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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 7
For more information about the SIE and Series 7 exams, refer...
- Exam
Your First Step to a Career in the Securities IndustryOn...
- Testing Accommodations Requests (Americans With Disabilities Act)
All testing sites are wheelchair accessible for persons with...
- Sie
Test Your SIE Knowledge Get firsthand experience with a free...
- Continuing Education (CE)
Announcements. Financial Learning Experience: FINRA has...
- Registration
Both firms and individuals must be registered with FINRA to...
- Frequently Asked Questions Related to Back-to-back Scheduling
The appointment times will follow one another. For example,...
- FAQs
[FINRA Registration Requirements 1210.08 - Lapse of...
- Series 7
Registration Code Classifications. *The SIE is a corequisite for this registration ( i.e., GS = SIE + S7).
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. Series 6 – Investment Company and Variable Contracts Products Representative Exam. 08/1980 – present.
FINRA-certified brokers have registered and undergone stringent Qualification Exams and are required to complete ongoing Continuing Education (CE) programs each year to ensure industry standards and practices are maintained.
Both firms and individuals must be registered with FINRA to conduct securities transactions and business with the investing public. Firms must meet certain membership standards to attain registration.
3 Μαΐ 2023 · 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.
How do I become eligible to take an FINRA exam? You must be registered for your examination(s) with FINRA and receive authorization from your sponsoring firm prior to scheduling your appointment at a Prometric Testing Center.
