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Confidential — for Internal Use Only
Associate Handbook August 2016 |
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CHAPTER 8
FINRA LICENSING
Many positions at ICMA‑RC that have direct participant contact require licensing through the Financial
Industry Regulatory Authority (FINRA).
FINRA is the largest independent regulator for all securities firms doing business in the United States.
ICMA‑RC’s Corporate Learning team will provide the necessary materials to assist associates in passing
the qualifying examinations. FINRA requires all potential candidates for licensing to pass a thorough
background review, including employment history and a fingerprint check performed by the Federal Bureau
of Investigations (FBI).
Once licensed, FINRA administers a Continuing Education (CE) Program that keeps licensed associates up to
date on industry and product-related subjects. All licensed associates must complete continuing education and
will be notified of their requirement.
Details of FINRA requirements, including registration and examinations, can be obtained by contacting the
ICMA‑RC Compliance Department.