Series 23

Series 23
An exam offered by the Financial Industry Regulatory Authority (FINRA) for financial professionals seeking to become general securities principals or sales supervisors. The Series 23 can only be taken once the Series 9/10 exams have been passed. The exam consists of 100 multiple-choice questions on the investment banking process (primary and secondary markets), market-making and trading activities at the firm level, managing office staff, and current FINRA regulations.

A score of 70% or better is required for passing.

The Series 23 can be bypassed by taking the Series 24 exam, which is more comprehensive and includes information presented on the 9/10 exams.

A general securities principal has the authority to manage mutual funds, variable annuities and other pooled asset vehicles within FINRA and SEC-authorized firms. Sales supervisors can manage sales and brokerage staff, or work as general partners for a firm. Professionals taking this exam have typically been working in the industry for several years, and are looking to become mutual fund managers or office managers.


Investment dictionary. . 2012.

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