Permitted Activities and Other Facts about Qualification Exams
The following pages will be useful to registration managers and compliance managers at member firms.
- Permitted Activities of Registered Representatives
- Permitted Activities of Registered Principals
- Effective Dates of Qualification Exams
- Co-requisites for Qualification Exams
- Registration Code Classifications
- Terms and Acronyms
For more general information about FINRA's Qualification Exams, please visit our main Qualification Exams page.