Qualifications & Exam Requirements
- FINRA Registration and Examination Requirements (Includes access to current Study Guides1)
- FINRA Administered Qualification Examinations (Includes access to current Study Guides1 )
- Registered Principals' Responsibilities
- Registered Representatives' Responsibilities
- Registration and Examination Fee Schedule
- Frequently Asked Questions (FAQ)
- Qualification Examination Waiver Guidelines
- Implementation/Amendment Dates of Qualification Examinations
- Registration Code Classifications
- General Information on Series 17, 37 & 38 Exams
- Recognition of the General Securities Representative (Series 7) Qualification Examination in the UK
1 At this time there are no links to the study outlines for the National Futures Association examinations (Series 30, 31, and 32).