Information Notice 6/5/13

FINRA Surveys to Update the Series 4, 9 and 10 Qualification Examinations

Executive Summary

Starting in June 2013, FINRA will conduct job analysis surveys to inform updates to the Series 4, 9 and 10 qualification examinations. Through these surveys, FINRA intends to gather information from currently registered individuals regarding their roles, responsibilities and job functions, and to use the information to update the related qualification examinations. FINRA encourages survey recipients to participate to help ensure that qualification examination content accurately measures competence in a particular area.

 

Questions about this Notice should be directed to:

  • Eva Cichy, Senior Qualifications Analyst, Testing and Continuing Education, at (240) 386-4680; or
  • Christie MacLean, Qualifications Analyst, Testing and Continuing Education, at (212) 858-4079.