Bring one valid, government-issued identification with a signature and picture, such as an unexpired driver’s license, passport or military ID. During the period a registered representative is inactive for failure to complete the Regulatory Element, a member may pay the registered representative fees or commissions earned by the representative prior to the period of inactivity unless the member has a policy that prohibits it. Those who already passed Series 3 or Series 32 exams may be exempted from this test. The Series 26 exam assesses the competency of a financial professional to perform the functions of an investment company and variable products principal. The Series 65 exam qualifies candidates to become an investment advisor and tests their knowledge on portfolio management, investment advice, retirement investment options, economic trends, ethical business practices, and laws and regulations. The exact pass rates might be a little different from what we’ve listed here, but you can feel confident that they’ll be close. What is the re-schedule and cancellation policy? The Series 16 exam does not have a corequisite exam, but candidates must be associated with a FINRA member firm or a self-regulatory organization to take this test. The Series 7 exam covers topics on investment risk, equity, taxation, and debt instruments. Candidates must be registered with a FINRA member firm or a self-regulatory organization to take this test. Series 9 and 10 are corequisite exams. Associated Persons Exempt from Registration, Frequently Asked Questions Related to Regulatory Relief Due to the Coronavirus Pandemic, SIE Exam and Exam Restructuring Frequently Asked Questions (FAQs), A Few Minutes with FINRA: Exam Restructuring + the SIE Exam. The exam consists of questions on regulatory guidelines, corporate securities, trading, real estate investment trusts, and customer accounts. Per FINRA testing policies, you are not permitted to leave the building during an unscheduled break unless required to do so to use the bathroom facilities. This includes types of products and their risks; prohibited practices; and the structure of the securities industry markets, regulatory agencies, and their functions. Removed religious apparel must be stored in your locker. This exam has two parts both of which assesses the ability of a candidate to perform the critical functions of a supervisory analyst, including tasks that involve rules and statutory provisions applicable to the preparation and approval of research reports. The Series 79 exam measures the candidate’s knowledge to perform the job of an investment banking representative, including skills on advising on or facilitating debt or equity securities offerings, and mergers and acquisitions. Unscheduled breaks must be reported to the test … The Series 27 exam does not have a corequisite exam, but candidates must be associated with a FINRA member firm or a self-regulatory organization to take this test. It covers topics such as options strategies and trading, foreign exchange options, best practices and regulatory requirements, and taxation. Here is a comprehensive overview of the remote testing process. Application of registration requirements to persons inquiring about potential clients' present accounts and other firms and current securities trades. Taking a securities industry qualification exam through Prometric now comes with options. Interpretive Letter to George W. Mann, Jr., Boston Stock Exchange, Interpretive Letter to Dennis Roth, Chesapeake Securities Research Corporation. Registration requirements of a member if a registered principal begins consulting relationship with the member as a compliance officer. Exam takers must also be associated and sponsored by a FINRA member company or a Self-Regulatory Organization. They must also have passed the SIE and Series 7 exams. Boston Stock Exchange (BSE) specialists effecting transactions in NYSE securities through ECNs, or Nasdaq securities through the UTP Plan, from terminals located on the floor of the BSE, are effecting transactions on the floor of the BSE for purposes of NASD Rules 1032(f) and 1060. The Series 51 is an exam required for professionals who want to sell municipal fund securities or manage and supervise such individuals. If you have questions regarding your results, please contact your Compliance/Registration Department for assistance. The following FAQs on FINRA.org pertain to Qualification Exams: FINRA IS A REGISTERED TRADEMARK OF THE FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC. FINRA Requests Comment on a Proposed New Expedited Proceeding Rule for Failures to Comply With the FINRA Qualification Examinations Rules of Conduct and Proposed Amendments to the Registration Requirements Rule and the Eligibility Proceedings Rules, Restructured Qualification Examinations and Related Examination Fees, SEC Approves Consolidated FINRA Registration Rules, Restructured Representative-Level Qualification Examinations and Changes to Continuing Education Requirements Effective Date: October 1, 2018, FINRA Revises the Series 9/10 Examination Program, FINRA Announces Approval of and Implementation Date for Securities Trader and Securities Trader Principal Registration Categories and Related Qualification Examination, Fee and Continuing Education Requirements, FINRA Revises the Series 27 and Series 28 Examination Programs, FINRA Revises the Series 4 Examination Program, FINRA Requests Comment on a Concept Proposal to Restructure the Representative-Level Qualification Examination Program, Changes to Qualification Examination Fees, FINRA Requests Comment on a Proposal to Require Registration of Associated Persons Involved in the Design, Development or Significant Modification of Algorithmic Trading Strategies, Revised Process for Candidates Whose Primary Language Is Not English to Receive Additional Time to Complete a Qualification Examination or Continuing Education Session, FINRA Revises the Series 55 Examination Program, FINRA Surveys to Update the Series 4, 9 and 10 Qualification Examinations, New Criteria and Process for Candidates Whose Primary Language Is Not English to Receive Additional Time to Complete a Qualification Examination or Continuing Education Session, Operations Professional Qualification Examination, Examination Fee and Initial Rollout Period, Changes to Fees for Cancelling or Rescheduling a Qualification Examination or Regulatory Element Continuing Education Session, SEC Approves Operations Professional Registration Category and Consolidated FINRA Continuing Education Rule, FINRA Surveys to Update the Series 6, 16, 24 and 26 Exams, FINRA Requests Comment on Proposed Registration Category, Qualification Examination and Continuing Education Requirements for Operations Professionals, Change for Scheduling Exam and CE Sessions, SEC Approves Rule Change Creating New Limited Representative – Investment Banker Registration Category and Series 79 Investment Banking Exam, FINRA Announces Electronic Filing Process For Qualification Examination Waiver Requests and Series 16 Experience Acceptability Requests Effective Date: January 16, 2009, Proposed Amendments to Qualification Examination Fees in Section 4(c) of Schedule A to the FINRA By-Laws, Acceptability of Series 24 Examination under NYSE Rule 342.13, Revisions to the Series 23, 24, 42, 55, 62, 72 and 82 Examination Programs, Amendments to Section 4 of Schedule A to the NASD By-Laws Governing Continuing Education Regulatory Element and Qualification Examination Fees, NASD Announces Exemption from the Research Analyst Qualification Requirements (Series 86 and 87) for Certain Employees of Foreign Affiliates Who Contribute to Member Research Reports, Revisions to the Series 11 and 55 Examination Programs, NASD Announces Exemption from the Analysis Portion of the Research Analyst Qualification Examination (Series 86) for Certain Applicants Who Prepare Only "Technical Research Reports", NASD Reminds Firms of April 4, 2005, Expiration Date of Grace Period to Meet NASD Research Analyst Qualification and Examination Requirements (Series 86/87), SEC Approves New NASD Qualification Requirements for Supervisors of Research Analysts, Amendments to Section 4 of Schedule A to the NASD By-Laws Governing Qualification Examination Fees, SEC Announces Immediate Effectiveness of Amendments to the Rule 9600 Series Establishing Waiver Subcommittee of the National Adjudicatory Council, Series 22, 27, 28, 39, 55, And 82 Modified, SEC Approves Proposed Rule Change Establishing A New Limited Registration Category For Private Securities Offerings, NASD Announces Interpretation Of NASD Rule 1032(f) Regarding Series 55/Equity Trader Registration Requirement, Deadline Extended For Series 55 Equity Trader Examination To October 1, 2000, Series 7 Examination Fee Increase Effective September 15, 1999, NASD Extends Filing Period For New Equity Trader Examination And Responds To Questions Regarding New Equity Trader Qualification Rule, SEC Approves New NASD Qualification Requirements And Examination For Equity Traders (Series 55), SEC Approves New Qualification Examination For Government Securities Representatives (Series 72) And New Registration Requirements For Registered Options Representatives (Series 42), Chip Jones, FINRA’s Senior Vice President of Member Relations and Education, leads a discussion with John Kalohn, Vice President, Testing & Continuing Education, and Joe McDonald, Senior Director, Qualifications & Exams, about FINRA’s exam restructuring initiative. Requirements of member firms to establish a schedule for and conduct inspections of Offices of Supervisory Jurisdiction and branch offices. All other personal items must be placed in a locker for test security purposes, so please limit what you bring to the Test Center. Prometric will send you an e-mail confirming your appointment. Upon return from an unscheduled break, a security check will be performed. Testing accommodations are currently only available for appointments delivered at a test center. Application of NASD Rules to the sale of group variable products. The limited supervisory functions that can be properly delegated to registered representatives also may be assigned to persons registered as Foreign Associates under NASD Rule 1100. Unregistered associated persons may not routinely take customer orders during periods of peak telephone call volume. The system provides an electronic scratch pad to make notes. Registration requirements of a member for persons responsible for actively supervising the employees of member broker/dealer (under former Schedule C, Part II, now the Rule 1020 Series). Test Center Delivery: If you need a calculator for your testing session, please see the Test Center Personnel. This means candidates cannot be granted Series 66 license without passing the SIE and Series 7 exams. (source). You must notify your proctor if you need to take an unscheduled break. Upon completion of your exam, your result file will be electronically encrypted and returned to FINRA. The Series 86 exam is a required test for those who want to work as a research analyst for brokers and dealers. Please present one form of government-issued, valid identification, bearing both a photograph and a signature. If you want to schedule exams on different days, you must select each exam individually and complete individual appointment transactions. Below is a list of policies and procedures for candidates taking the FINRA Series Exams. Ensure that your name on this ID is the exact same name under which your exam is scheduled. FINRA operates the largest securities dispute resolution forum in the United States, Report a concern about FINRA at 888-700-0028. The Series 7 is an exam that assesses the ability of a candidate to perform their primary job as a general securities representative, which includes sales of corporate securities, investment company securities, municipal securities, variable annuities, options, direct participation programs, and government securities. Thinking of getting a job in the finance industry? Interpretive Letter to Kevin L. Palmer, WMA Securities, Inc.

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