FAQs tagged as

FINRA Exams

  1. A sales representative is permitted to take all of the following actions EXCEPT:

  2. Transactions are exempt from registration where …

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

  4. All of the following are allowable deductions used in determining taxable estate ...

  5. Do I have to reach a certain age before I can write an NASD exam?

  6. Do I need to have my Series 7 license for at least 36 months before I take the Series ...

  7. How do I receive sponsorship from a member firm in order to write a Series 7 exam?

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

  9. I failed the Series 6 exam. How long must I wait before I can re-take it?

  10. Where can I find a copy of an old Series 7 exam?

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

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

  13. Do I need to be sponsored or employed by a member firm in order to write the Series ...

  14. I failed the Series 7 exam. How long must I wait before I can take it again?

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

  16. I am not currently employed at a member firm, but I have independently written the ...

  17. I have already obtained my Series 7; however, I am no longer working for a member ...

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

  19. How long will my Series 7 license last after my employment has been terminated at ...

  20. Do I have to successfully complete the Series 7 exam before I can register for the ...

  21. I have not received my Series 7 exam certificate. Where can I obtain it?

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

  23. How many attempts at the Series 7 exam are permitted?

  24. If I have already completed the Series 6 examination, do I have to complete the entire ...

  25. Do I need to take the Series 6 examination after I have already successfully completed ...

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

  27. I am not a resident of the United States, but would like to be qualified as a registered ...

  28. Are there any continuing education requirements after I pass the Series 7 examination?

  29. I passed my Series 7 exam, but I terminated employment at my sponsoring firm before ...

  30. Does FINRA make any allowances for people whose first language is not English?

  31. What financial certifications or exams do I need to complete in order to qualify ...

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

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

  34. If my employment with my current firm terminates relatively soon, do I have two years ...

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