Qualifications & Exams (Individuals)

Any person associated with a member firm who is engaged in the securities business of the firm—including partners, officers, directors, branch managers, department supervisors, and salespersons—must register with FINRA.

 

Registered Representatives Brochure

The Registered Representatives Brochure is a reference for current and previously registered representatives. The brochure outlines the registration process, a representatives responsibilities to their firm and customers, best practices for interacting with FINRA, and how to terminate registration with FINRA. In addition, the brochure contains information on how current and previously registered representatives can access their record and work with their firm (or regulators) to keep it up to date.

 

Qualifications & Exam Requirements

Learn about qualifications and examinations administered by FINRA to registered representatives and other securities professionals.

 

Test Centers & Appointments

Search for exam test center locations and get information on scheduling exams.