FINRA Exam Course, Syllabus & Training Guide

By IIC Lakshya

18 Dec 2025

Others

FINRA Exam Course, Syllabus & Training Guide

Want to learn about the exam course and syllabus of the Financial Industry Regulatory Authority (FINRA)? Learn about some of the exam courses, their exam requirements, and career-based paths. If you are a Commerce student aiming to create a career in Finance and Accounting, this guide will effectively help you.

What is the FINRA Exam?

The professionals who are working in the U.S. Securities and Investment Industry need to take FINRA Exams. So what are these FINRA exams? The FINRA course exams are licensing exams, also called qualification exams, which are compulsory for all professionals.

There are several types of FINRA exams, called Series, that align specifically with various job roles like trader, banker, research analyst, broker, and investment adviser. Careers in investment, like Chartered Financial Advisor (CFA), are perfect goals with the FINRA certification. These exams are also helpful and essential for training providers in the finance industry.

FINRA Exam Course Structure

To develop a deeper understanding of the FINRA exam and course details, you need to learn about the specific features. If you are planning to learn about various investment banking courses in 2025, you get to learn about the career path here. Below are some of the significant features that give a clearer idea of the exam structure.

Features	Course Details
Format	Computer-based exam Multiple-choice questions
Time Duration	1.5 to 4 hours, depending on the Series exam
Passing Score	70 to 75%
Validity	If associated with a registered firm, the License remains active
Regulator	Financial Industry Regulatory Authority (FINRA)

FINRA Exam Syllabus

The syllabus of the FINRA exam is mostly established by major licenses like Series 6 - Investment Company & Variable Contracts, Securities Industry Essentials, Series 57 - Securities Trader, Series 7 - General Securities Representatives, and others.

There are several global finance trends and their career impact, helping you diversify your professional career. Below are some significant topics that are part of the syllabus, taught to the candidates preparing or qualifying to work in the securities and investment industry.

Mutual funds and ETFs
Customer accounts and suitability
Regulatory rules and sales practices
Equity market structure
Customer recommendations and suitability
Trading, settlement, and regulations
Ethical practices and prohibited actions
Understanding securities products
mergers and acquisitions (M&A)

FINRA Exam Requirements

There are some exam requirements that the professionals must be eligible for to complete the FINRA courses and qualify for the exams. Below are the requirements:

Candidates must receive a sponsorship from a FINRA-member firm for most of the series exams, except Series 65.
Candidates also need to pass the Securities Industry Essentials (SIE) exam.

FINRA Career-Path Based Exam Guide

Diverse opportunities in the job market are available once you have completed and qualified for a specific Series of the FINRA exams. Additionally, there are emerging finance careers in 2025 that every professional should know. The following are the job opportunities and positions available for qualified candidates of the FINRA exams.

Financial Advisor
Retails Broker
Insurance Investment Specialist
Portfolio Manager
Investment Adviser
Securities Trader
Investment Banking Professional
Equity Research Analyst
Compliance Officer

Wrapping Up!

In conclusion, if you want to develop skills like consultation regarding mutual funds, stocks, ETFs, and bonds, FINRA certification is a must. Furthermore, the qualifications also help in managing portfolios for clients, which leads to professionals working effectively in the finance, security, and investment industries.

Frequently Asked Questions on FINRA Exam Syllabus and Course Guide

What will disqualify you from FINRA?

If a candidate gets involved in a situation related to misdemeanor, felony convictions, or permanent or temporary injunctions, it can lead to their being disqualified from FINRA.

What is the easiest FINRA exam?

The FINRA exam can be somewhere between easy to medium difficult. Candidates have to answer 53 questions out of 75 questions with a passing score of 70%.

What are some tips to crack the exam?

To crack the FINRA exam, you have to manage time, review notes, and practice daily. Furthermore, you can attend the classes, understand the materials, and practice prior exam papers.

Is Series 7 harder than CPA?

It is not possible to compare the Series 7 to the CPA certification course. The CPA exam is a much wider representation of financial topics and financial markets, while the Series 7 is specifically focused on investment.

Which FINRA certification is best?

The Series 6 and Series 7 exams are considered to be some of the best among all the FINRA certification exams. Financial professionals who are planning to learn about investment products and the process of selling them.