Review below to learn more about the offerings that Prometric extends to support candidates and firms. The relief provided does not extend beyond the identified rules and requirements. If you need additional scratch paper or pens, please alert the Test Center Personnel. Candidates will need to be knowledgeable on topics that cover U.S. regulations and compliance on commodity futures trading and NFA regulations. Let’s get started. If you want to schedule exams on different days, you must select each exam individually and complete individual appointment transactions. There is no corequisite exam for the Series 34. The exam consists of questions on personnel management, securities industry rules, FINRA rules compliance, sales activities, record keeping, and maintenance of customer accounts. The Series 7 is an exam that assesses the ability of a candidate to perform their primary job as a general securities representative, which includes sales of corporate securities, investment company securities, municipal securities, variable annuities, options, direct participation programs, and government securities. It assesses the understanding of the candidate on the topics of financial metrics, earnings modeling methods, and industry dynamics. You will be provided with a printed copy of your pass/fail results. Like the Series 86, the SIE exam is a corequisite for this exam. Test Center Delivery: Scratch paper and pens will be provided to you upon admittance to the testing room. The Series 30 exam is for the financial professional seeking to work as a Branch Manager for a futures trading firm. Please see the complete message including information about online test delivery. (source), The Series 32 exam is offered to individuals who are registered by regulatory authorities outside of the United States. Direct Participation Programs Representatives are eligible to sell shares of a non-listed business development company that qualifies as a regulated investment company under the Internal Revenue Code at the time of sale. An individual must pass the exams prior to engaging in those areas of the business. Topics include FINRA and NYSE rules, valuation of securities, financial statement analysis, and economics. Candidates will need to study topics that include futures and forward contracts, hedging, yield curve, NFA rules, regulations, and disclosure documents. The Series 79 exam measures the candidate’s knowledge to perform the job of an investment banking representative, including skills on advising on or facilitating debt or equity securities offerings, and mergers and acquisitions. Activities requiring registration as an Equity Trader. The Securities Industry Essentials (SIE) exam is an introductory-level exam from FINRA for those who want to start a career in the securities industry. Interpretive Letter to Thomas W. Hands, TradePortal Securities, Inc. Ideally, Series 79 examinees should take and pass the SIE exam before taking this test. Applicability of NASD rules to a member's use of a translator for group retirement plan enrollment presentations. Option 2: Schedule your exam for online delivery. The Series 26 exam assesses the competency of a financial professional to perform the functions of an investment company and variable products principal. It covers topics on options sales and trading, regulation, and administration. Order entry personnel are not required to register under Series 55 as equity traders based solely on the fact that they enter orders into routing systems, which send the orders to clearing firms for execution. You now have two options to schedule your exam: Option 1: Schedule your exam in a Prometric test center. It’s not surprising as it is one of the most high-paying jobs you could have in the United States. The Series 14 exam does not have a corequisite exam, but candidates must be associated with a FINRA member firm or a self-regulatory organization to take this test. The Series 7 exam covers topics on investment risk, equity, taxation, and debt instruments. Testing accommodations are currently only available for appointments delivered at a test center. To report on abuse or fraud in the industry, FinPro (The Financial Professional Gateway), Securities Industry Essentials Exam (SIE), Financial Industry Networking Directory (FIND), Series 6 – Investment Company and Variable Contracts Products Representative Exam, Series 7 – General Securities Representative Exam, Series 22 – Direct Participation Programs Limited Representative Exam, Series 57 - Securities Trader Representative Exam, Series 79 - Investment Banking Representative Exam, Series 82 - Private Securities Offerings Representative Exam, Series 4 – Registered Options Principal Examination Exam, Series 9/10 – General Securities Sales Supervisor Exam, Series 23 – General Securities Principal – Sales Supervisor Module Exam, Series 24 – General Securities Principal Exam, Series 26 – Investment Company Products/Variable Contracts Limited Principal Exam, Series 27 – Financial and Operations Principal Exam, Series 28 – Introducing Broker/Dealer Financial and Operations Principal Exam, Series 39 – Direct Participation Programs Limited Principal Exam, Series 50 – Municipal Advisor Representative Exam, Series 51 – Municipal Fund Securities Limited Principal Exam, Series 52 – Municipal Securities Representative Exam, Series 53 – Municipal Securities Principal Exam, Series 54 – Municipal Advisor Principal Exam, Series 3 – National Commodities Futures Exam, Series 30 – NFA Branch Manager Exam (formerly, Branch Managers Exam – Futures), Series 32 – Limited Futures Exam – Regulations, Series 34 – Retail Off-Exchange Forex Exam, Series 63 – Uniform Securities Agent State Law Exam, Series 65 – Uniform Investment Adviser Law Exam, Series 66 – Uniform Combined State Law Exam, 1230. Interpretive Letter to Ms. M. LaRae Bakerink, Pacific American Securities, LLC. We will continue to refine the implementation of th… Your firm's Compliance/Registration Department should receive official notification of your pass/fail results or completion status within 48 hours. The exact pass rates might be a little different from what we’ve listed here, but you can feel confident that they’ll be close. Topic included in the exam covers the basic functions of an operations professional, which includes customer onboarding, management and distribution of funds, loans and securities lending, and reinvestment and disbursements of funds. At this point, you can begin to answer test questions. If the individual is not connected to any firm, he or she can use Form U10 to request and pay for the exam. There is no prerequisite for the Series 50 examination. Also, not all persons to whom equity traders report need to be Series 55 registered. If your accommodations were approved for extended time only, you can schedule your appointment via the Internet. Like the Series 27 exam, Series 28 does not have a corequisite exam, but candidates must be associated with a FINRA member firm or a self-regulatory organization to take this test. (source). Foreign Associates, however, may not perform the functions that require a principal registration. How do I become eligible to take an FINRA exam?