Top Questions



	1	I was laid off from my firm over a year ago. At the time, I held Series 7, 24, 55, and 63 licenses. When do these licenses expire?



	2	Which FINRA qualification examinations do not require brokerage firm sponsorships?



	3	A registered firm will sponsor me to take the Series 7 exam, but may not employ me for a number of months. What does it cost the firm to sponsor me? If I pass the exam, how long do I have before I need to register with FINRA either through the sponsor firm or another firm?



	4	I have Series 6 & 63 licenses and am registered with a broker/dealer firm. Do I have to notify them of a recent personal bankruptcy?



	5	Can I download the Form U4, Form U5, Form BD, and Form BDW from FINRA's Web Site?



	6	How do I get a copy of my Form U4 or Form U5?



	7	My job was recently eliminated at a brokerage firm. How long will my licenses stay current if I am not working for a brokerage firm?



	8	How can I check the background of my broker or brokerage firm?



	9	How long will my FINRA qualification examinations be valid after I end my affiliation with a FINRA member brokerage firm?



	10	How can I find the addresses and contact information for brokerage firms?