Series 28: Qualification Examinations And Waiver Of Requirements

Qualification Examinations and Waiver of Requirements

Qualification examinations are conducted by FINRA and consist of a series of questions based upon topics contained in study outlines provided by FINRA. Examination results are reported to member firms and may be accompanied by an analysis of the candidate’s performance on the examination.

FINRA may, in exceptional cases, waive the applicable qualification examination and accept other standards as evidence of an applicant’s qualifications for registration. Experience in fields ancillary to the investment banking or securities business may constitute sufficient grounds to waive a qualificati