The Financial Industry Regulatory Authority (FINRA) administers several professional certification examinations that do not require sponsorship; these include the series 3, 30, 31, 32, 33, 63 and 65 exams. In order to apply you must file Form U-10.

The Certified Financial Planner (CFP) exam, administered by the Certified Financial Planner Board of Standards Inc., does not require sponsorship. Additionally, the CFA Institute does not require a sponsor for the Chartered Financial Advisor (CFA) program.

The Financial Risk Manager (FRM) and Energy Risk Professional (ERP) exams, administered by the Global Association of Risk Professionals, do not require sponsorship.

For Canadians, the Canadian Securities Course (CSC) and the Conduct and Practices Handbook (CPH) exams also do not require a sponsor.

  1. If I am looking to get an Investment Banking job. What education do employers prefer? ...

    If you are looking specifically for an investment banking position, an MBA may be marginally preferable over the CFA. The ... Read Full Answer >>
  2. What personal items am I allowed to bring with me into the CFA exam testing room?

    Aside from the required examination admission ticket and current government-issued photo ID; HB pencils, pens (blue or black ... Read Full Answer >>
  3. Are variable annuities safe?

    As of October 2015, many life insurance companies, and those companies that sell variable annuities, have experienced economic ... Read Full Answer >>
  4. How are variable annuities regulated?

    The sale of a variable annuity is regulated by the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory ... Read Full Answer >>
  5. Can I use my IRA to pay for my college loans?

    If you are older than 59.5 and have been contributing to your IRA for more than five years, you may withdraw funds to pay ... Read Full Answer >>
  6. Can I use my 401(k) to pay for my college loans?

    If you are over 59.5, or separate from your plan-sponsoring employer after age 55, you are free to use your 401(k) to pay ... Read Full Answer >>
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