The Financial Industry Regulatory Authority (FINRA) is an independent regulator for United States securities firms. One of FINRA’s responsibilities is ensuring the credentials and competence of those who work in the securities industry, which is done through a certification process. Certification is required for those working in certain securities positions. FINRA offers 33 exams for registered principals, registered representatives and general securities representatives. For detailed information about Series 7, Series 63 and Series 66, please see The Securities Test Guide. For information about all other FINRA exams, see our FINRA Test Guide.
