Manage Your Securities Industry Career
Manage Your Securities Industry Career

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Overview

Throughout your securities industry career, FINRA, other regulatory organizations and your employer collect and maintain a variety of information. Learn about all phases of your career in the securities industry, from considering becoming registered to taking exams to obligations when you leave the industry.

 

For Current Registered Persons

Individuals who are currently registered or employed with a firm should work with their firm’s compliance department to make sure that they are properly registered, provide their firm with timely updates to their record and understand their obligations as a registered person. 
This section will help you find information about:

  • the requirements for taking qualifying exams;
  • continuing education (CE);
  • keeping your record current;
  • guidance on the proper conduct of a registered person; and
  • information on your responsibilities to your firm and customers.

Keeping Your Record Current

Qualifications and Testing

Continuing Education (CE)

 

For Former Registered Persons

When you terminate your registration with FINRA, you remain subject to FINRA’s jurisdiction for at least two years. For example, you may be asked to provide information, documentation or to testify on the record during a FINRA examination or investigative process. 
This section will help you find information about:

  • your responsibilities as a former registered person, including how to dispute information provided by your prior employer;
  • the requirements you have after leaving your firm or the industry; and
  • FINRA’s Maintaining Qualifications Program (MQP) that allows eligible individuals to maintain their qualifications for up to five years.

Reviewing and Updating Your Information with FINRA

The Maintaining Qualifications Program (MQP)

 

Considering a Securities Industry Career?

The securities industry offers a variety of career options. Individuals who are interested in entering the finance and securities industries can jumpstart their career without being associated with a broker-dealer by taking the Securities Industry Essentials® (SIE®) Exam. 
This section will help you find information about:

  • the SIE exam, which allows prospective securities industry professionals to showcase their industry knowledge without being associated with a firm; and
  • enrolling in Financial Industry Networking Directory (FIND)™, which looks to connect individuals with financial services firms that are recruiting for full-time employment and internship positions.

The Securities Industry Essentials (SIE) Exam

Financial Industry Networking Directory (FIND)

 

Need Help?

If you are currently registered with a FINRA member firm, you should first work with your firm (your direct supervisor or compliance department) to resolve any issues that arise. However, if you have further questions, please contact the FINRA Support Center at (301) 590-6500.