FAQs tagged as

Financial Industry Regulatory Authority

  1. How does FINRA differ from the SEC?

  2. What certification series does one need to be a bond broker?

  3. How do I know if I am buying unregistered securities or stocks?

  4. Do I need to take the Series 6 examination after I have already successfully completed the Series 7?

  5. Is it possible to take the Series 7 exam without being sponsored?

  6. Which States do not require a Representative to write the Series 63 exam?

  7. I want to start my own brokerage company, how do I become a member of FINRA?

  8. Is it possible to take the Series 6 exam without being sponsored?

  9. What activities can an Investment Company Products/Variable Contracts Limited Representative perform?

  10. How long will my Series 7 license last after my employment has been terminated at a member firm?

  11. If I have passed the Series 7 exam, do I need to write the 6 and 63 exams as well?

  12. If I have already completed the Series 6 examination, do I have to complete the entire Series 7, or can I take a modified version?

  13. Where are the testing centers for the Series 7 examination?

  14. How can I find out if my employer is a member of FINRA?

  15. Do I need to be a U.S. resident to take the Series 63 exam as an individual?

  16. If my employment with my current firm terminates relatively soon, do I have two years before my FINRA exams expire no matter how long I was with the last member firm?

  17. Am I qualified once I complete my FINRA certification exam?

  18. What is the difference between Series 9/10 and Series 24 qualification exams?

  19. I am not currently employed at a member firm, but I have independently written the Series 63 exam. How do I keep this status valid?

  20. Can you short sell stocks that are trading below $5? My broker says that I can't.

  21. Which popular professional certification exams do not require sponsorship?

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