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Improve Your Business Tactics With Finra Series Exams

June 11, 2012 | Comments: 0 | Views: 148

Are you interested in becoming a stock broker or want to work at any particular position in the financial industry? As it is vital for the finance business to be based on trust and stability; therefore, it is important to pass certain special types of exams, certificates and tests in order to make sure to the clients that their assets and transactions are in safe hands, with the element of trust. Finra series exams are basically designed to fulfill the above mentioned needs of the clients or investors, by examining the employer of the firm.

Finra series of exams are drafted by financial industry regulatory authority (FINRA), which was established in 2007 after the merger of national association of securities dealers (NASD) and self regulatory functions of New York exchange (NYSE). All the members of the firm have to pass finra series exam in order to get the desired position. For certain types of jobs, it is necessary to have more than one certificate and for that it is essential to give various tests. To keep the employers updated, retesting is also done after certain years. Finra tests can only be given by those who are sponsored by the member firm. The employer will guide the employee to give the suitable test that is needed to get the certain job. There is no particular training session for finra tests as it is self study based.

The first finra series test is series 7. This exam is also known as general securities representative examination (GSRE). This test is necessary for those appointed for the position of financial adviser and other financial sales position. The timing of test is six hours with various multiple choice questions on stocks, securities, customer needs and others. The next finra test is series 6, which is given by those interested in transactional business with specific set of investment. The jobs are associated with mutual funds and variable annuities.

Finra series 63 and series 66 are given by those who are interested in getting the position of securities regulation, as well as it is mandatory for the position of financial adviser to the clients. The finra series 65 test is also known as uniform investment adviser law exam. This test gives the certificate of an investment adviser representative. All the tests except last one require sponsorship from the finra member firm. The successful candidates get the certificate of the finra.

Source: EzineArticles
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