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 EXCEPT

  5. What financial certifications or exams do I need to complete in order to qualify for registration as an Investment Advisor Representative?

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

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

  8. 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?

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

  10. Do I need to have my Series 7 license for at least 36 months before I take the Series 9/10 exam?

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

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

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

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

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

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

  17. Do I need to be sponsored or employed by a member firm in order to write the Series 66 exam?

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

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

  20. 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?

  21. I have already obtained my Series 7; however, I am no longer working for a member firm. How do I prevent my license from expiring?

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

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

  24. Do I have to successfully complete the Series 7 exam before I can register for the Series 63 exam?

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

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

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

  28. 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?

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

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

  31. I am not a resident of the United States, but would like to be qualified as a registered representative in the U.S. Is it still possible for me to write the Series 7 exam?

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

  33. I passed my Series 7 exam, but I terminated employment at my sponsoring firm before I received my license. Is my exam still valid?

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

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