Finra Exams

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Terms in Finra Exams

Financial Industry Regulatory Authority (FINRA)

The Financial Industry Regulatory Authority (FINRA) is a nongovernmental organization that writes and enforces rules for brokers and broker-dealers. read more

Registered Options Principal (ROP)

A Registered Options Principal (ROP) at a brokerage firm supervises options exposure and the trading activities on options within client accounts. read more

Series 14

The Series 14 is a financial examination for professionals wishing to become compliance officers. read more

Series 23

Series 23 is an exam offered by the Financial Industry Regulatory Authority (FINRA). read more

Series 28

The Series 28 is a financial exam for those seeking to become licensed recordkeepers or operations principals for broker-dealer firms. read more

What Is a Series 34 Exam and License

The Series 34 is an exam and license required for individuals seeking to engage in off-exchange forex transactions with retail customers. read more

Series 51

Series 51 is a financial exam for professionals wishing to sell municipal fund securities or oversee the sale of such securities. read more

Series 53

The Series 53 exam is a licensing test that permits an individual to supervise the municipal securities activities of a securities firm or bank dealer. read more

Series 62

The Series 62 certification authorized registered representatives to transact in corporate equities and corporate debt securities. read more

Series 79

FINRA’s Series 79 exam determines whether a registered representative is qualified to become an investment banker. read more

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