Information for Brokers
Registered Representatives Brochure
FINRA welcomes you to your new career as a FINRA member firm registered representative. This brochure—tailored for prospective and currently employed registered representatives and other securities industry professionals—addresses testing and qualifications issues, how registered representatives are to conduct business, and the need for professionalism and fair dealing with investors.
Qualifications
This page provides information about qualifications and continuing education requirements, as well as information about the examinations administered by FINRA to registered representatives and other securities professionals.
