Manage Your Securities Industry Career
On This Page
- Overview
- For Current Registered Persons
- For Former Registered Persons
- For Individuals Considering a Securities Industry Career
- Need Help?
Overview
Throughout your securities industry career, FINRA, other regulatory organizations and your employer collect and maintain a variety of information. Learn about all phases of your career in the securities industry, from considering becoming registered to taking exams to obligations when you leave the industry.
For Current Registered Persons
Individuals who are currently registered or employed with a firm should work with their firm’s compliance department to make sure that they are properly registered, provide their firm with timely updates to their record and understand their obligations as a registered person.
This section will help you find information about:
- the requirements for taking qualifying exams;
- continuing education (CE);
- keeping your record current;
- guidance on the proper conduct of a registered person; and
- information on your responsibilities to your firm and customers.
Keeping Your Record Current
Qualifications and Testing
Continuing Education (CE)
For Former Registered Persons
When you terminate your registration with FINRA, you remain subject to FINRA’s jurisdiction for at least two years. For example, you may be asked to provide information, documentation or to testify on the record during a FINRA examination or investigative process.
This section will help you find information about:
- your responsibilities as a former registered person, including how to dispute information provided by your prior employer;
- the requirements you have after leaving your firm or the industry; and
- FINRA’s Maintaining Qualifications Program (MQP) that allows eligible individuals to maintain their qualifications for up to five years.
Reviewing and Updating Your Information with FINRA
- Learn about exam validity
- Update your contact information through FinPro
- View your record on BrokerCheck
The Maintaining Qualifications Program (MQP)
Considering a Securities Industry Career?
The securities industry offers a variety of career options. Individuals who are interested in entering the finance and securities industries can jumpstart their career without being associated with a broker-dealer by taking the Securities Industry Essentials® (SIE®) Exam.
This section will help you find information about:
- the SIE exam, which allows prospective securities industry professionals to showcase their industry knowledge without being associated with a firm; and
- enrolling in Financial Industry Networking Directory (FIND)™, which looks to connect individuals with financial services firms that are recruiting for full-time employment and internship positions.
The Securities Industry Essentials (SIE) Exam
- Learn about the SIE exam
- Find out about the SIE exam as a student
- Learn about the SIE exam as a school
Financial Industry Networking Directory (FIND)
Careers and Outreach
The financial and securities industries offer a variety of career options for individuals, including front-, middle- and back-office as well as other specialized roles such as compliance.
Below are examples of job categories and titles in the financial industry.
| Job Category | Title |
|---|---|
| Compliance | Compliance testing, risk management, regulatory reporting, compliance monitoring, product specialist, compliance surveillance, compliance reporting, compliance examiner |
| Investment banking | Investment banker |
| Mergers and acquisitions | Equity trader, fixed income trader, options trader, proprietary trader, quantitative analyst, market maker |
| Operations | Back-office operations, middle-office operations, operations professional |
| Relationship management | Client services associate, investor relations |
| Research | Research analyst |
| Sales | Equity sales, institutional sales, fixed income sales, variable annuities sales, mutual fund sales, options sales, municipal sales, sales assistant, customer service analyst |
Outreach Activities
FINRA's efforts to support the adoption of the Securities Industry Essentials® (SIE®) Exam and encourage increased diversity and inclusion in the financial services industry led it to form partnerships with postsecondary education institutions and organizations that support diversity, equity and inclusion in the securities industry.
SIE Voucher Program for Schools
To help build a pipeline of diverse individuals interested in pursuing a career in the securities industry, FINRA provides a limited number of exam vouchers to minority-serving institutions (MSIs) that meet specific criteria, including having a training program/course that supports their students to study for the SIE exam. If you would like more information or to request vouchers from this program, please email [email protected].
FINRA-HBCU Professorship Program
The inaugural FINRA-HBCU Professorship Program launched in 2023. The National HBCU Business Deans Roundtable partnered with FINRA on the 13-month program. This video spotlights the FINRA-HBCU Professorship Program.
Below are the 2023 and 2024 cohort schools:
| 2023 Cohort | 2024 Cohort |
|---|---|
| Alabama State University Chicago State University Florida A&M University Harris Stowe University Medgar Evers College, CUNY North Carolina Central University Southern University Tennessee State University Texas Southern University University of Arkansas, at Pine Bluff | Benedict College Clafin University School of Business Clark Atlanta University Delaware State University Elizabeth City State University Hampton University Jackson State University Johnson C. Smith University Savannah State University Saint Augustine’s University |
Additional Outreach
Established in 2003, the FINRA Investor Education Foundation empowers underserved Americans with the knowledge, skills and tools to make sound financial decisions throughout life. To learn more about an investor’s perspective about being regulated by FINRA, view the “What It Means to Be Regulated by FINRA” page.
FINRA values diversity, equity, & inclusion. To learn more about how FINRA is committed to fostering a diverse, inclusive and equitable workplace, read FINRA’s Diversity, Equity & Inclusion Report.
Need Help?
If you are currently registered with a FINRA member firm, you should first work with your firm (your direct supervisor or compliance department) to resolve any issues that arise. However, if you have further questions, please contact the FINRA Support Center at (301) 590-6500.