The Most Difficult FINRA Series Exam, Ranked

Choose the FINRA Series Exam you think is the most difficult!

Author: Gregor Krambs
Updated on Jun 18, 2024 06:30
Many aspiring finance professionals face the challenge of passing FINRA Series Exams, each known for its unique difficulty level and importance. Identifying which exams are the toughest can help candidates allocate their study time more effectively, easing the path to certification. This site allows users to cast their votes on which FINRA Series Exams they believe are the most challenging. The collective insights gathered here offer a valuable guide for future test-takers, helping them understand where they might need to focus their efforts most.

What Is the Most Difficult FINRA Series Exam?

  1. 1
    82
    points

    Series 7 - General Securities Representative Exam

    Covers a broad range of investments and requires a deep understanding of securities and financial markets.
    • Exam Length: 225 questions over 3 hours and 45 minutes
    • Passing Score: 72%
  2. 2
    37
    points

    Series 24 - General Securities Principal Exam

    Assesses the competency of an entry-level general securities principal to perform their job as a general securities principal.
    • Exam Length: 150 questions over 3 hours and 45 minutes
    • Passing Score: 70%
  3. 3
    5
    points

    Series 53 - Municipal Securities Principal Exam

    Assesses the competency of an entry-level principal to perform their job as a municipal securities principal.
    • Exam Length: 100 questions over 3 hours
    • Passing Score: 70%
  4. 4
    1
    points

    Series 3 - National Commodities Futures Exam

    Covers futures trading, market regulations, and is required for individuals who sell commodities or futures contracts.
    • Exam Length: 120 questions over 2 hours and 30 minutes
    • Passing Score: 70%
  5. 5
    0
    points

    Series 66 - Uniform Combined State Law Exam

    Intended to qualify candidates as both securities agents and investment adviser representatives.
    • Exam Length: 100 questions over 2 hours and 30 minutes
    • Passing Score: 73%
  6. 6
    0
    points

    Series 9/10 - General Securities Sales Supervisor Examination

    Assesses the competency of an entry-level general securities sales supervisor to perform their job.
    • Exam Length: Series 9: 55 questions over 1 hour and 30 minutes, Series 10: 145 questions over 4 hours
    • Passing Score: Series 9: 70%, Series 10: 70%
  7. 7
    0
    points

    Series 4 - Registered Options Principal Exam

    Covers the management of a brokerage firm's options portfolio and the laws and regulations applicable to options trading.
    • Exam Length: 125 questions over 3 hours and 45 minutes
    • Passing Score: 73%
  8. 8
    0
    points

    Series 14 - Compliance Officer Exam

    Assesses the competency of an entry-level compliance officer to perform their job.
    • Exam Length: 110 questions over 3 hours
    • Passing Score: 70%
  9. 9
    0
    points

    Series 57 - Securities Trader Qualification Exam

    Assesses the competency of an entry-level trader to perform their job as a securities trader.
    • Exam Length: 125 questions over 3 hours and 45 minutes
    • Passing Score: 70%
  10. 10
    0
    points

    Series 79 - Investment Banking Representative Qualification Examination

    Assesses the competency of an entry-level registered representative to perform their job as an investment banking representative.
    • Exam Length: 175 questions over 3 hours and 45 minutes
    • Passing Score: 73%

Missing your favorite FINRA Series Exam?

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About this ranking

This is a community-based ranking of the most difficult FINRA Series Exam. We do our best to provide fair voting, but it is not intended to be exhaustive. So if you notice something or Exam is missing, feel free to help improve the ranking!

Statistics

  • 5624 views
  • 125 votes
  • 10 ranked items

Voting Rules

A participant may cast an up or down vote for each Exam once every 24 hours. The rank of each Exam is then calculated from the weighted sum of all up and down votes.

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More about the Most Difficult FINRA Series Exam

The Financial Industry Regulatory Authority (FINRA) oversees exams for those entering the securities industry. These exams ensure that individuals understand the rules and regulations of financial markets. Among these exams, one stands out as particularly challenging.

This exam covers a broad range of topics. It tests knowledge of investment products, ethics, and state regulations. Candidates must know the ins and outs of stocks, bonds, mutual funds, and options. They must also understand complex trading strategies. The depth of knowledge required is immense.

Preparation for this exam is key. Many candidates spend months studying. They often use a mix of study guides, online courses, and practice tests. Some even attend intensive prep classes. The goal is to cover all possible content areas. Despite this, the pass rate remains low.

The exam format adds to the challenge. It includes multiple-choice questions, but these are not straightforward. Many questions are scenario-based. They require candidates to apply their knowledge to real-world situations. This tests not just memorization but understanding and critical thinking.

Time management during the exam is crucial. Candidates have a limited amount of time to answer all questions. This means they must work quickly and efficiently. There is little room for error. Each question demands careful reading and consideration.

The pressure is high. Many candidates feel anxious. The stakes are significant. Passing this exam can open doors to lucrative careers in finance. Failing means starting over. This adds to the stress.

Candidates often form study groups. This allows them to share knowledge and support each other. They discuss difficult concepts and quiz each other. This collaborative approach can be beneficial. It helps to reinforce learning and build confidence.

Despite the difficulty, many candidates succeed. They do so through hard work and dedication. They stay focused and disciplined. They follow a structured study plan. They take care of their health, ensuring they get enough sleep and exercise. This holistic approach helps them perform at their best.

The exam evolves over time. FINRA updates it to reflect changes in the industry. This means candidates must stay current with new regulations and trends. Continuous learning is part of the process.

In conclusion, this particular FINRA exam is known for its difficulty. It tests a wide range of knowledge and skills. Preparation is demanding and time-consuming. The pressure is high, but with the right approach, success is achievable. Candidates who pass demonstrate a deep understanding of the financial industry. They prove they are ready for the challenges of a career in finance.

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