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FINRA Surveys to Update the Series 4, 9 and 10 Qualification Examinations

FINRA is conducting job analysis surveys to inform updates to the Series 4, 9 and 10 qualification examinations. FINRA intends to gather information from currently registered individuals regarding their roles, responsibilities and job functions, and to use the information to update the related qualification examinations.

See: Notice.

Tags

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