🧾 FINRA Licensing Requirements by Job Role Whether you’re aiming to become a financial advisor, trader, compliance officer, or investment banker, FINRA licenses are required to legally perform specific job functions in the securities industry. Each role demands different licenses depending on the products sold, level of responsibility, and client interaction. Here’s a breakdown of […]
📘 FINRA Publishes Annual Exam Trends Report FINRA has released its 2024 Annual Regulatory Oversight Report, providing insights into findings from FINRA’s Member Supervision, Market Regulation, and Enforcement programs. This report reflects FINRA’s commitment to providing greater transparency to member firms and the public about our regulatory activities. FINRA+11FINRA+11FINRA+11 🔍 Key Areas of Focus in […]
📅 FINRA Extends Window for Series 6 Exam Rescheduling In a move designed to support greater flexibility for exam candidates, FINRA has extended the rescheduling window for the Series 6 exam and other qualification exams. This update is especially important for those juggling work, school, or other life commitments while preparing for their Investment Company […]
🛡️ Emerging Risks and Areas of Focus FINRA’s report also emphasizes emerging risks that firms should address: 📘 Accessing the Full Report For a comprehensive understanding of the findings and recommendations, you can access the full 2023 Examination and Risk Monitoring Program Report on FINRA’s official website: 👉 Read the Full Report Staying informed about […]
🖥️ FINRA Introduces Exam Simulation Tools for Candidates To help aspiring securities professionals better prepare for high-stakes licensing exams, FINRA has introduced new online exam simulation tools. These tools aim to provide candidates with a more realistic preview of the actual exam experience—boosting both confidence and performance on test day. 🎯 What Are FINRA’s Exam […]
In 2025, the Financial Industry Regulatory Authority (FINRA) has implemented significant enhancements to its remote testing and supervision frameworks, reflecting the evolving landscape of the financial industry and the increasing prevalence of remote work. 🖥️ Remote Inspections Pilot Program (Rule 3110.18) Effective July 1, 2024, FINRA launched a three-year Remote Inspections Pilot Program under Rule […]
The Financial Industry Regulatory Authority (FINRA) is actively seeking public feedback on potential changes to its examination and regulatory framework. This initiative is part of a broader effort to modernize FINRA’s rules, guidance, and processes to better align with the evolving financial landscape.FINRA+3FINRA+3FINRA+3 🔍 Key Areas Under Review In Regulatory Notice 25-04, FINRA outlines two […]
📚 FINRA Exams That Cover NASAA Content While FINRA administers many securities licensing exams, several of these exams include rules and ethics governed by the North American Securities Administrators Association (NASAA)—especially when it comes to state securities regulation, fiduciary standards, and investor protection. Here’s a breakdown of which FINRA exams cover NASAA content, what’s tested, […]
🎯 FINRA Exams with the Highest Pass Rates Easiest Exams by Industry Standards – And Why They’re Still Worth Preparing For Not all FINRA-administered exams are equally difficult. Some have higher pass rates, making them popular entry points into the securities industry. However, even these “easier” exams demand serious preparation. Here’s a breakdown of FINRA […]
📊 FINRA Exam Statistics: Pass Rates, Trends, and Insights The FINRA exams—including the SIE, Series 6, 7, 24, 63, 65, and 66—are essential certifications for entering and advancing in the financial services industry. But how many candidates actually pass these exams? What trends have emerged in recent years? And what does this mean for your […]