The Series 9 and 10 exams — General Securities Sales Supervisor Qualification Exams (SU) —assess the competency of an entry-level principal to perform their job as a general securities sales supervisor.The exams measure the degree to which each candidate possesses the knowledge needed to perform the critical functions of a general securities sales supervisor, including the approval of customer
The Series 28 exam — the Introducing Broker-Dealer Financial and Operations Principal Qualification Exam (FI) — assesses the competency of an entry-level principal to perform their job as a financial and operations principal in an introducing broker-dealer that does not carry customer accounts or hold customer funds or securities.
The Series 23 exam — the General Securities Principal Qualification Exam – Sales Supervisor Module (GP) — assesses the competency of an entry-level principal to perform their job as a general securities principal The Series 23 exam is an alternative to taking the General Securities Principal Exam (Series 24) and is appropriate for a candidate who is registered as a General Securities Sales Supervisor (SU) and wants to register as a General Securities Principal.
The Series 27 exam — the Financial and Operations Principal Qualification Exam (FN) — assesses the competency of an entry-level principal to perform their job as a financial and operations principal.
The Series 26 exam — the Investment Company and Variable contracts Products Principal Qualification Exam (IP) — assesses the competency of an entry-level principal to perform their job as an investment company and variable products principal.
The Series 4 exam — the Registered Options Principal Qualification Exam (OP) — assesses the competency of an entry-level principal to perform their job as a registered options principal.
The Series 14 exam — the Compliance Officer Qualification Exam (CR) — assesses the competency of an entry-level principal to perform their job as a compliance officer.
The Series 39 exam — the Direct Participation Programs Principal Qualification Exam (DP) — assesses the competency of an entry-level principal to perform their job as a direct participation programs principal.
We publish The Neutral Corner to provide arbitrators and mediators with current updates on important rules and procedures within securities dispute resolution. FINRA believes this newsletter provides its dedicated neutrals with a valuable learning tool that enables them to better serve parties and other participants in the FINRA forum.
The Neutral Corner Volume 2 - 2016
Web API/User Guide Specifications and Production Test Scripts Archive
