FAQs tagged as

FINRA

  1. I need special accommodations when taking the Series 63 exam. How are such arrangements ...

  2. Do I need a class to take the Series 63 exam?

  3. How are asset management firms regulated?

  4. I have passed the Series 63 and FINRA Series 7, but would like to become licensed ...

  5. Which factors most influence fixed income securities?

  6. Where do I take the Series 63 examination?

  7. I decided not to take the Series 63 exam. Can I get a refund?

  8. What are my options if I fail my Series 63 exam?

  9. How much time can I expect to spend on studying for the Series 63 exam?

  10. What should I bring to the Series 63 exam?

  11. How do I sign up for a Series 63 exam as a foreign national if I don’t have a Social ...

  12. How is the Series 63 exam set up?

  13. My scores on the Series 63 average a passing grade, but the testing center said I ...

  14. How long is the Series 63 exam?

  15. Can you trade securities before you pass the Series 63 exam?

  16. How long is the validity period for a Series 63 exam if I have not been registered?

  17. What factors might make a private placement a risky investment?

  18. Are there any continuing education requirements for Series 63 exams?

  19. How can I report a problem that occurred on my Series 63 exam?

  20. Where do I get a certificate or other evidence of passing the Series 63 exam?

  21. What is the best way to study for the series 63 exam?

  22. I would like a refund for my Series 63 exam. What should I do?

  23. Is there a limit on the number of times I can re-take the Series 63 exam?

  24. How long must I wait after failing the Series 63 exam before I can take it again?

  25. Do I need to pass the Series 63 if I am just taking orders for securities?

  26. Do I have to be a U.S. citizen to sit for the Series 63 exam?

  27. My 120-day Series 63 exam window is about to close, but I need more time to study. ...

  28. I gave an answer on the test from my study guide that was scored wrong on the Series ...

  29. Which version of the Uniform Securities Act should I study to prepare for my Series ...

  30. Are waivers granted to the 180-day waiting period to re-take the Series 63 exam?

  31. If I failed the Series 66, does the waiting period apply if I want to take the Series ...

  32. How often, and how, is a series 63 exam updated?

  33. Are series 63 exams given outside of the United States?

  34. What does it mean when I get a maintenance margin call?

  35. Does NASAA or anyone else give out the series 63 exam questions?

  36. How many people fail the series 63 exam every year?

  37. What are the SEC regulations regarding stock splits?

  38. How do I train for a career in management information systems (MIS)?

  39. What is a "pink sheet" in the context of an OTC (over-the-counter) transaction?

  40. What are the SEC (Securities And Exchange Commission) rules about OTC (over-the-counter) ...

  41. Who are cambrists and how do I become one?

  42. How does FINRA differ from the SEC?

  43. Which statement(s) is/are FALSE about market risk?

  44. I have a CFA designation. Do I qualify for any exemptions from FINRA licensing exams?

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

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

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

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