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Series 23 is a license and exam, which is also called the General Securities Principal Exam. The Financial Industry Regulatory Authority, or FINRA, administers the test. The Series 23 license is generally sought by financial professionals who wish to become general securities principals or sales supervisors. In order to take the exam, candidates must first have both their Series 9 and Series 10 credentials. The test features 100 multiple-choice questions, which one must answer at least 70% correctly to pass. If you're getting ready to take the Series 23 exam, you should begin your preparation process by going over the types of questions you're likely to be asked on test day.
There are two primary categories on the exam, registered representative and registered principal levels. The specific topics you're likely to see covered in these sections includes the investment banking process in both primary and secondary markets, market-making and trading activities at the firm level, properly managing office staff, and current FINRA regulations. If you're interested in becoming a general securities principal or a sales supervisor, passing the Series 23 Exam and receiving its credential is absolutely necessary. As with any important exam, it's a good idea to prepare thoroughly before taking the Series 23 Exam.