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The Financial Industry Regulatory Authority (FINRA) is an independent regulator for United States securities firms. One of FINRA’s responsibilities is ensuring the credentials and competence of those who work in the securities industry, which is done through a certification process. Certification is required for those working in certain securities positions.
FINRA offers 33 exams for registered principals, registered representatives and general securities representatives. In order for an individual to become a representative of a broker-dealer for corporate securities and to register with the Financial Industry Regulatory Authority (FINRA),they must pass the Series 7 exam. The Series 7 exam is also a prerequisite for other securities exams, such as the Series 63 and Series 66 exams. FINRA creates and distributes each of the securities exams mentioned in this article.
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