Search

Registration & Qualifications

Home > Registration & Qualifications > Broker Guidance & Responsibility > Qualifications
Printer-Friendly Last Updated: 4/30/08 Qualifications, Exams & Continuing Education

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. Also view test center locations and other associated information regarding testing delivery.

Qualifications & Testing

• FINRA Registration and Examination Requirements (Includes access to current Study Guides)
• FINRA Administered Qualification Examinations (Includes access to current Study Guides)
• Registration and Examination Fee Schedule
• Frequently Asked Questions
• Qualification Examination Waiver Guidelines
• Registered Principals' Responsibilities
• Registered Representatives' Responsibilities
• Implementation/Amendment Dates of Qualification Examinations
• Registration Code Classifications
• Study Outlines for FINRA examinations (Links to specific outlines¹ can be found throughout these pages.)

Exam Information & Locations

• Test Center Location List
• Recent or Upcoming Changes
• International Testing Locations
• Holiday Schedule
• Group Reservations Procedure
• Scheduling - Frequently Asked Questions
• Special Accommodations

Continuing Education

Form U10

• Submit U10 online with credit card payment
• Print and submit U10 with check or money order (PDF 55 KB)
   

¹ At this time there are no links to the study outlines for the National Futures Association examinations (Series 3, 30, 31, 32, and 33); the foreign modules to the Series 7 exam (Series 17, 37, 38, and 47); nor to the Series 5 and Series 15.