If a newly hired person is employed by a broker-dealer and will be offering mutual fund shares, she can become finra registered by?

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22-08-2022
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If a newly hired person is employed by a broker-dealer and will be offering mutual fund shares, she can become finra registered by?

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Tundexi Tundexi · Answer 1 · 2022-08-30T13:31:10+02:00

If a newly hired person is employed by a broker-dealer and will be offering mutual fund shares, she can become FINRA registered by passing the SIE Exam and the Series 6 Exam.

What are the requisite for being FINRA registered?

In order to become properly registered or qualified in FINRA, the newly hired person must pass the SIE Exam and the appropriate FINRA licensing exam.

In practice, in order to be able to offer mutual funds, a person must pass either the Series 6 or Series 7 Exam plus the SIE Exam. The Series 63 is a state exam, not a FINRA exam.