FINRA Qualification Exams

Finance Industry Regulatory Authority (FINRA) Image:
Finance Industry Regulatory Authority (FINRA)


A current partner and a three-time Super Lawyer at Freeman, Freeman and Smiley, LLP and with past experience as a faculty member for the National Association of Compliance Professionals, Sylvia Scott is an accomplished expert attorney specializing in securities compliance and litigation. In addition to speaking engagements at industry conferences, Sylvia Scott has previous experience at FINRA and the SEC with a concentration on compliance and enforcement litigation. Ms. Scott also has extensive experience with broker/dealer regulatory examinations and has been a featured speaker on numerous occassions.

The Finance Industry Regulatory Authority (FINRA), maintains a number of qualification examinations that securities professionals must take and pass prior to working in the industry. Each exam is focused on a specific securities activity; however, the exams as a whole cover the broad market and general regulatory requirements.

Exams vary based on the specific certification being sought. For example, the General Securities Representative Examination tests for competency as an entry level general securities representative. Visit for a full list of examinations.


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