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FINRA Proposes Revisions to Research Analyst Exams

FINRA proposed revisions to the content outline for Research Analyst exams (FINRA Series 86/87). These exams "assess the competency of an entry-level registered representative to perform their job as a research analyst." (See FINRA webpage here.)

FINRA is filing the proposal for immediate effectiveness and will announce the implementation date of the new exam outline following publication of the notice of filing with the SEC.

Primary Sources

  1. FINRA Notice: SR-FINRA-2023-004 Proposed Revisions to the Content Outline and Selection Specifications for the Research Analyst (Series 86/87) Exam Program

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Tags

Regulated Activities
Employee Matters Research
Sub-Activity
Employee Testing
Regulated Entities
Broker-Dealers
Body of Law
Securities Law
Jurisdiction
US - Federal
Organization
FINRA / MSRB / SEC Exchanges / SIPC / Accountants
Sub-Author
FINRA