Keyword Analysis & Research: series 7 license finra

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Frequently Asked Questions

What are the requirements for a series 7 license?

There are no specific education requirements to take the Series 7, but once you are licensed, you still have to complete ongoing continuing education -- that's mandated by FINRA, the Financial Industry Regulatory Authority.

Who issues the series 7 license?

A Series 7 license, issued by the Financial Industry Regulatory Authority, is required to trade in most financial securities. The license has three parts: sponsorship by a FINRA member, the licensing exam and passing the background check. While not an absolute bar, a felony conviction can disrupt and delay this procedure.

How do you get your series 7?

To take the Series 7 exam, you must be sponsored by a FINRA member firm or a self-regulatory organization (SRO). Firms apply for candidates to take the exam by filing a Uniform Application for Security Industry Registration or Transfer (Form U4). There is also an exam fee that is commonly covered by the sponsoring firm.

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