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