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.
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.
Learn about qualifications and examinations administered by FINRA to registered representatives and other securities professionals.
Search for exam test center locations and get information on scheduling exams.