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The document lists semester credit amounts by exam series, identifies which university areas may receive elective or required credits, and states that recommendations depend on training versions at transfer-guide creation. It also explains eligibility, student responsibilities, sponsored professional training requirements, and key transfer provisions, including active qualification status and official transcript evaluation.",{"@graph":69,"@context":122},[70,84,105],{"@type":71,"itemListElement":72},"BreadcrumbList",[73,77,79,82],{"item":74,"name":75,"@type":76,"position":8},"https://docshare.wps.com","Home","ListItem",{"item":78,"name":9,"@type":76,"position":14},"https://docshare.wps.com/document/",{"item":80,"name":20,"@type":76,"position":81},"https://docshare.wps.com/document/exam/",3,{"item":83,"name":65,"@type":76,"position":19},"https://docshare.wps.com/document/finra-qualification-exam-transfer-guide-pla-credit-recommendation-guide/390085/",{"url":83,"name":65,"@type":85,"image":86,"author":91,"headline":65,"publisher":94,"fileFormat":97,"inLanguage":63,"description":67,"dateModified":98,"datePublished":99,"encodingFormat":97,"isAccessibleForFree":100,"interactionStatistic":101},"DigitalDocument",{"url":87,"@type":88,"width":89,"height":90},"https://docshare.wps.com/thumbnails/finra-qualification-exam-transfer-guide-pla-credit-recommendation-guide/390085.png","ImageObject",300,407,{"name":92,"@type":93},"supergirl","Person",{"url":74,"name":95,"@type":96},"DocShare","Organization","application/pdf","2026-11-01","2026-09-25",true,{"@type":102,"interactionType":103,"userInteractionCount":44},"InteractionCounter",{"@type":104},"ViewAction",{"@type":106,"mainEntity":107},"FAQPage",[108,114,118],{"name":109,"@type":110,"acceptedAnswer":111},"Are the FINRA exam credit recommendations guaranteed?","Question",{"text":112,"@type":113},"No. Recommendations are based on training as taught on the guide creation date and do not constitute a guarantee of awarded credit. Faculty subject-matter experts make final decisions.","Answer",{"name":115,"@type":110,"acceptedAnswer":116},"What eligibility requirements apply to pursue PLA credit at UAGC?",{"text":117,"@type":113},"Students must be admitted to an eligible degree program, have an official transfer credit evaluation completed, and only pursue PLA when PLA approval fulfills unique remaining graduation requirement(s).",{"name":119,"@type":110,"acceptedAnswer":120},"What transfer conditions affect whether PLA credits can be applied?",{"text":121,"@type":113},"Credits require submission of official transcripts for Registrar evaluation, must be earned at the same degree level, and PLA is not available to non-degree seeking students or certain graduate programs. FINRA qualifications must be active, and retired qualifications are not credited if more than two years have passed without active broker-dealer registration.","https://schema.org",{"og:url":83,"og:type":124,"og:title":65,"og:site_name":95,"og:description":67},"article",{"robots":126,"canonical":83},"index,follow",{"doc_id":128,"site_id":62},390085,1791212230,{"code":4,"msg":5,"data":131},{"doc_id":128,"user_id":132,"nickname":92,"user_avatar":133,"doc_module":4,"category_id":19,"category_name":20,"doc_title":65,"doc_description":67,"doc_content":134,"file_id":135,"file_url":136,"file_type":137,"file_size":138,"view_count":44,"is_deleted":4,"is_public":8,"is_downloadable":8,"audit_status":8,"page_count":81,"language":139,"language_code":63,"site_id":62,"html_lang":63,"table_of_contents":140,"faqs":141,"seo_title":142,"seo_description":67,"update_tm":143,"read_time":39,"preview_page_count":4},962088121634,"https://ap-avatar.wpscdn.com/davatar_9964176cb1d06d4a9deccf72a44ae3dc","PLA Credit Recommendation Guide  \nEvaluation Summary for FINRA Qualification Exams  \nThe University of Arizona Global Campus (UAGC) recognizes the uniqueness of each student’s experience and realizes learning takes place in a variety of environments. The UAGC Prior Learning Assessment (PLA) program provides a means for awarding credit to students who bring college-level learning experiences acquired outside of a traditional university classroom setting, and which do not carry national testing program, American Council on Education (ACE), and/or National College Credit Recommendation Service (NCCRS) credit recommendation(s) .  \nStudents may pursue their academic and professional goals through a variety of degree programs at UAGC. For additional information on UAGC degree programs, please visit our website.  \nSpecific FINRA Qualification Exams trainings have been evaluated by the PLA Department, and credit recommendations have been determined. The recommendations listed below are based on the training as taught on the date of transfer guide creation and do not constitute a guarantee that credit will be awarded. Students must follow the Sponsored Professional Training process. All decisions on awarding PLA credit are made by Faculty subject-matter experts. Any variation in previous or subsequent training versions may carry different credit recommendations.  \nAll FINRA qualifications must be active to be considered for credit. No credit will be given for retired qualifications/exams when more than two (2) years have passed with active broker-dealer registration.  \n\n| FINRA QUALIFICATION EXAMS TRAINING TITLE | THE UNIVERSITY OF ARIZONA GLOBAL CAMPUS AREA OF RECOMMENDATION | SEMESTER CREDIT RECOMMENDATION |\n| --- | --- | --- |\n| Securities Industry Exam (SIE) | Elective | 2 UD |\n| Series 3 National Commodities Futures Exam | Elective | 2 UD |\n| Series 4 Registered Options Principal | Elective | 2 UD |\n| Series 6 Investment Company and Variable Contracts Products Representative | Elective | 1 UD |\n| Series 7 General Securities Representative Examination | FIN 215 Personal Financial Management; and\u003Cbr>FIN 405 Principles of Investments | 3 LD\u003Cbr>3 UD (Total Credits: 6) |\n| Series 9 General Securities Sales Supervisor | No credit given | NCG |\n| Series 10 General Securities Sales Supervisor | Elective | 1 UD |\n| Series 14 Compliance Official Exam | Elective | 2 UD |\n| Series 16 Supervisory Analyst Exam Two Parts | Elective | 2 UD |\n| Series 22 Direct Participation Representative | Elective | 1 UD |\n| Series 23 General Securities Principal ExamSales Supervisor Module | No credit given | NCG |\n| Series 24 General Securities Principal | No credit given | NCG |\n| Series 26 Investment Company and Variable Contracts Product Principal | No credit given | NCG |\n| Series 27 Financial and Operations Principal Exam | Elective | 2 UD |\n\n\n| Series 28 Introducing Broker-Dealer Financial and Operations Principal Exam | Elective | 1 UD |\n| --- | --- | --- |\n| Series 30 NFA Branch Managers Exam | No credit given | NCG |\n| Series 31 Futures Managed Funds Exam | No credit given | NCG |\n| Series 32 Limited Futures Exam – Regulations | No credit given | NCG |\n| Series 34 Retail Off-Exchange Forex Exam | Elective | 2 UD |\n| Series 39 Direct Participation Programs Principal Exam | Elective | 1 UD |\n| Series 50 Municipal Advisor Representative Exam | Elective | 2 UD |\n| Series 51 Municipal Fund Securities Limited Principal Exam | Elective | 1 UD |\n| Series 52 Municipal Securities Representative Exam | Elective | 2 UD |\n| Series 53 Municipal Securities Principal Exam | Elective | 2 UD |\n| Series 54 Municipal Advisor Principal Exam | Elective | 1 UD |\n| Series 57 Securities Trader Representative | Elective | 2 UD |\n| Series 63 Uniform Securities State Law Examination | Elective | 1 UD |\n| Series 65 NASAA Investment Advisors Law Examination | Elective | 2 UD |\n| Series 66 NASAA Uniform Combined State Law Examination | Elective | 2 UD |\n| Series 79 Investment Bank","cbCaivWbZnWQZANS","https://ap.wps.com/l/cbCaivWbZnWQZANS","pdf",153745,"English","# Evaluation Summary for FINRA Qualification Exams\n## FINRA Qualification Exams Training Title to Credit Recommendations\n## Student Eligibility for PLA\n## Transfer Provisions","[{\"question\":\"Are the FINRA exam credit recommendations guaranteed?\",\"answer\":\"No. Recommendations are based on training as taught on the guide creation date and do not constitute a guarantee of awarded credit. Faculty subject-matter experts make final decisions.\"},{\"question\":\"What eligibility requirements apply to pursue PLA credit at UAGC?\",\"answer\":\"Students must be admitted to an eligible degree program, have an official transfer credit evaluation completed, and only pursue PLA when PLA approval fulfills unique remaining graduation requirement(s).\"},{\"question\":\"What transfer conditions affect whether PLA credits can be applied?\",\"answer\":\"Credits require submission of official transcripts for Registrar evaluation, must be earned at the same degree level, and PLA is not available to non-degree seeking students or certain graduate programs. FINRA qualifications must be active, and retired qualifications are not credited if more than two years have passed without active broker-dealer registration.\"}]","FINRA Qualification Exam Transfer Guide - PLA Credit Recommendation Guide | PDF",1790329746]