The Series 86 and 87 exams — the Research Analyst Exams — assess the competency of an entry-level registered representative to perform their job as a research analyst.
The Series 23 exam — the General Securities Principal Qualification Exam – Sales Supervisor Module (GP) — assesses the competency of an entry-level principal to perform their job as a general securities principal The Series 23 exam is an alternative to taking the General Securities Principal Exam (Series 24) and is appropriate for a candidate who is registered as a General Securities Sales Supervisor (SU) and wants to register as a General Securities Principal.
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.
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Ombuds is a term originating from Sweden and means representative. The International Ombuds Association describes an ombuds as “one who assists individuals and groups in the resolution of conflicts or concerns.”
FINRA’s Office of the Ombuds is an independent, neutral, and confidential resource for anyone with questions or concerns about FINRA, which regulates the U.S. brokerage
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 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.
