The Series 82 exam — the Private Securities Offerings Representative Exam — assesses the competency of an entry-level registered representative to perform their job as a private securities offerings representative.
The Series 4 exam — the Registered Options Principal Qualification Exam (OP) — assesses the competency of an entry-level principal to perform their job as a registered options principal.
The Series 14 exam — the Compliance Officer Qualification Exam (CR) — assesses the competency of an entry-level principal to perform their job as a compliance officer.
ON THIS PAGE:What's NewFrequently Asked QuestionsWhat's NewEffective August 16, 2024, during a four-week period, FINRA will deploy multi-factor authentication (MFA), to all active FINRA Entitlement user accounts for the FINRA Entitlement Program. Super Account Administrators (SAAs) and Account Administrators (AAs) already use MFA to access the FINRA Entitlement Program.Multi-factor
The Series 24 exam — the General Securities Principal Qualification Exam (GP) — assesses the competency of an entry-level principal to perform their job as a principal dependent on their corequisite registrations.
The Series 28 exam — the Introducing Broker-Dealer Financial and Operations Principal Qualification Exam (FI) — assesses the competency of an entry-level principal to perform their job as a financial and operations principal in an introducing broker-dealer that does not carry customer accounts or hold customer funds or securities.
The Series 27 exam — the Financial and Operations Principal Qualification Exam (FN) — assesses the competency of an entry-level principal to perform their job as a financial and operations principal.
The Series 26 exam — the Investment Company and Variable contracts Products Principal Qualification Exam (IP) — assesses the competency of an entry-level principal to perform their job as an investment company and variable products principal.
The Series 39 exam — the Direct Participation Programs Principal Qualification Exam (DP) — assesses the competency of an entry-level principal to perform their job as a direct participation programs principal.
We publish The Neutral Corner to provide arbitrators and mediators with current updates on important rules and procedures within securities dispute resolution. FINRA believes this newsletter provides its dedicated neutrals with a valuable learning tool that enables them to better serve parties and other participants in the FINRA forum.
The Neutral Corner Volume 2 - 2016
