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1. www.finra.org › registration-exams-ce › classic-crdCentral Registration Depository (CRD) | FINRA.org

   www.finra.org › registration-exams-ce › classic-crd

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   FINRA is responsible for the Central Registration Depository (CRD®) program, which supports the licensing and registration filing requirements of the U.S. securities industry and its regulators. The CRD program covers the registration records of broker-dealer firms, branch offices and their associated individuals, including their qualification, employment and disclosure histories; it also ...

2. www.finra.org › registration-exams-ce › finproFinancial Professional Gateway (FinPro) | FINRA.org

   www.finra.org › registration-exams-ce › finpro

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   Individuals can pay and report through FinPro. FINRA member firms can also opt in to pay and apply the Regulatory Element to the IAR CE Product and Practices requirement through a feature in FINRA Gateway. See the Firm Settings Guide for more information. The fee is $18 ($3 per credit hour times six credits).

3. www.finra.org › node › 10398FINRA.org

   www.finra.org › node › 10398

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4. www.finra.org › node › 86459FINRA.org

   www.finra.org › node › 86459

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5. www.finra.org › registration-exams-ce › registrationRegistration | FINRA.org

   www.finra.org › registration-exams-ce › registration

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   Individual Registration. Firms must register any person engaged in the securities business of the firm – including salespersons, branch managers, department supervisors, partners, officers and directors – before they can take a qualification exam. Both firms and individuals must be registered with FINRA to conduct securities transactions ...

6. www.finra.org › investors › protect-your-moneyAsk and Check | FINRA.org

   www.finra.org › investors › protect-your-money

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   Visit FINRA BrokerCheck or call FINRA at (800) 289-9999. Also contact your state securities regulator. Check SEC Action Lookup tool for formal actions that the SEC has brought against individuals. If you find the individual on BrokerCheck, click the "More Details" button below their name to view their summary report.

7. www.finra.org › registration-exams-ceSeries 7 – General Securities Representative Exam | FINRA.org

   www.finra.org › registration-exams-ce

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   The Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four major job functions of a general securities representative. The table below lists the allocation of exam items for each major job function.