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How do I become a FINRA certified?

While requirements vary slightly between licenses, here are the common steps to earning your credential: Take and pass the SIE exam. Find a FINRA firm or SRO to sponsor you. Select the appropriate test for your career path. Register and schedule your exam. Study for at least 80 hours. What Is a FINRA License? (17 Types of FINRA Exams) | Indeed.com indeed.com career-development finra-lic indeed.com career-development finra-lic

What is considered a small firm FINRA?

Large firm = 500 or more registered representatives; Mid-Size firm = 151-499 registered representatives; Small firm = 1-150 registered representatives. Total includes Small, Mid-Size, and Large firms. FINRA-Registered Firms by Size finra.org industry-statistics-reg-firms-size finra.org industry-statistics-reg-firms-size

What is a FINRA CMA?

A firm is under a continuing obligation to update changes to information about the firm. Broker-dealer firms must file a Form BD amendment and/or a Continuing Membership Application (Form CMA) depending on the type of registration information that requires updating.

Is Form BD publicly available?

The Form also is used by applicants to register as broker- dealers with certain self-regulatory organizations and all of the states. The Commission and the Financial Industry Regulatory Authority, Inc. maintain the files of the information on this Form and will make the information publicly available.

What is Form NMA?

The New Member Application Form (Form NMA) is used by FINRAs Membership Application Program (MAP) Group to assess whether an Applicant meets those standards. The form contains 12 sections modeled after the first 12 standards of FINRA Rule 1014.

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