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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.
Qualification Exams. 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.
3 Μαΐ 2023 · Financial securities licenses like Series 7 and Series 63 are required by individuals who market and sell investments or securities.
Registration Code Classifications. *The SIE is a corequisite for this registration ( i.e., GS = SIE + S7).
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09/1981 – present. Series 14 – Compliance Officer Exam. 09/1989 – present. Series 16 – Supervisory Analysts Exam. 01/1965 – present. Series 22 – Direct Participation Programs Representative Exam. 08/1980 – present. Series 23 – General Securities Principal Exam – Sales Supervisor Module. 07/2003 – present.
Each category of driving licence may be renewed at any time, provided that the legal requirements are met. The holder of a non-valid category of driving licence issued by an EU Member State who has acquired normal residence in Greece must renew his/her driving licence.
