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Search results with tag "Qualification examination"
Registered Options Principal Qualification Examination ...
www.finra.orgOutline Page 3 INTRODUCTION The Series 4 exam is the Registered Options Principal Qualification Examination. The exam is developed and maintained by the …
Regulatory Notice 14-33 - FINRA
finra.complinet.comRegulatory Notice 3 etogic 14-33 A person registering as a General Securities Principal must also pass the Series 24 qualification examination or an alternative examination.