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.
Qualifications & Testing
- FINRA Registration and Examination Requirements (Includes access to current Study Guides1)
- FINRA Administered Qualification Examinations (Includes access to current Study Guides1 )
- 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
- General Information on Series 17, 37 & 38 Exams
Testing Centers & Delivery Information
The PROCTOR® system is a computer system specifically designed for the administration and delivery of computer-based testing and training. Through PROCTOR, FINRA offers a variety of exam/continuing education sessions at various sites.
- Test Center Location List
- Appointments & Enrollment
- Other Appointment Arrangements
- FINRA Special Accommodations – Americans with Disabilities Act
- English as a Second Language
- Information Regarding International Appointments
1 At this time there are no links to the study outlines for the National Futures Association examinations (Series 30, 31, and 32); the foreign modules to the Series 7 exam (Series 17, 37, and 38); nor to the Series 5.