Registration and Qualification

Regulatory Relief for Testing and Continuing Education 

FINRA is working to accommodate testing and regulatory element continuing education candidates impacted by Hurricanes Harvey and Irma.

Hurricane Harvey: We will automatically extend the enrollment windows due to expire between August 25, 2017 and September 22, 2017 for candidates who are in the affected counties and regions declared a "disaster" by the federal or state governments. The new enrollment end date will be extended until November 6, 2017.

Hurricane Irma: We will automatically extend the enrollment windows due to expire between September 5, 2017 and October 1, 2017 for candidates who are in the affected counties and regions declared a "disaster" by the federal or state governments. The new enrollment end date will be extended until November 15, 2017.

As more information becomes available, FINRA may provide additional extensions.

Please contact FINRA's Gateway Call Center at 301-590-6500 with any questions or if you require additional information.

Both firms and individuals must be registered with FINRA to conduct securities transactions and business with the investing public. Firms must meet certain membership standards to attain registration.

To become registered, securities professionals are required to pass qualification exams to demonstrate competence in their particular securities activities. The information below can help guide you through the membership and registration process.