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.