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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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