To become registered, securities professionals must pass qualifying exams administered by FINRA to demonstrate their competence in the particular securities activities in which they will work. You must pass the exams prior to engaging in those areas of the business.
These exams cover a broad range of subjects on the markets, and the securities industry and its regulatory structure. This includes knowledge of FINRA rules and also the rules of other self-regulatory organizations (SROs). The purpose of the exams is to ensure that you acquire a minimum level of understanding and expertise.
The Duration column below is the amount of time permitted to complete your exam. Your appointment time includes an additional 30 minutes for taking the tutorial and completing the post-exam survey.