CRD FAQ - Qualifications

1. Where can I access a list describing the exams listed in CRD?

A listing of the exams available in CRD can be found on the Qualification Exams page.

2. How long is an exam window in CRD?

Exam windows are valid for 120 days. Provided that an exam candidate is not subject to a waiting period after a previous failed attempt, the exam window start date will be the day following the submission of the exam enrollment request.

3. What are the qualifications for an IA representative (RA) registration?

See the Qualifying for an IA Representative (RA) page for a list of qualification criteria. Additional information is available in the Form Filing for IA Representatives FAQ on the iard.com site.

4. How far back does the exam history information go when a Form U10/TESS exam is linked in CRD?

The exam history reflects all FINRA-administered exams taken on or before the last Form U4 filing date. For any Form U4 Filing request submitted, CRD will check to see if the Series 63, 65, and 66 exams were taken outside of a Form U4 filing and convert the information onto CRD.

5. Does a Professional Designation waive the Series 7 for an individual seeking to be GS registered?

No. A professional designation does not exempt an individual from the Series 7.

Some jurisdictions allow individuals to qualify for the RA registration with a professional designation in lieu of the Series 65 and/or Series 66 exam. See the Qualifying for an IA Representative (RA) page for a list of qualification criteria. Additional information is available in the Form Filing for IA Representatives FAQ on the iard.com site.