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Both broker-dealer (BD) firms and individuals must be registered with FINRA to conduct securities transactions and business with the investing public. Firms must meet certain membership standards to attain registration.
To become registered, securities professionals are required to pass qualification exams to demonstrate competence in their particular securities activities. The information below can help guide you through the membership and registration process.
Broker-Dealer Registration
You can find FINRA’s membership requirements for BD firms in the NASD Rule 1010 Series. This outlines the standards and procedural guidelines for the BD membership application and registration process.
Funding portal members are subject to FINRA regulatory oversight and reporting requirements. Learn about the funding portal membership application and registration process.
Individual Registration
Firms must register any person engaged in the securities business of the firm – including salespersons, branch managers, department supervisors, partners, officers and directors – before they can take a qualification exam.
Web CRD
Firms and securities professionals are registered on FINRA’s Web CRD (Central Registration Depository), the central licensing and registration system for the U.S. securities industry and its regulators
Qualification Exams
These exams cover a broad range of subjects on the markets, and the securities industry and its regulatory structure. They ensure that securities professionals acquire a minimum level of understanding and expertise.
Once registered, you are required to take continuing education (CE) programs within 120 days after the second anniversary of your initial securities registration. CE consists of regulatory, ethical and supervisory training.
The International Financial Securities Regulatory Commission was established to promote investor confidence in the securities and capital markets by providing more structure and government oversight.
