United Kingdom Securities Representative Qualification Examination - Series 17 - Content Outline

Sep 26, 2026

Uploaded by Margaret

United Kingdom Securities Representative Qualification Examination (Series 17) content outline from FINRA, explaining the purpose, eligibility requirements, and application procedures. It details how the examination is developed and maintained, how administration and scoring work, including how passing scores and candidate results are determined. The outline also enumerates the exam’s knowledge statements, functions, tasks, and rules, followed by sample questions and references. It is intended to guide exam preparation.

LanguageEnglish

CategoryExam

FormatPDF

Pages44

Reading Time1 h 51 min

AccessFree to download

Introduction

The Purpose of the Series 17 Examination

Eligibility Requirements

Application Procedures

Development of the Series 17 Content Outline and Examination

Administration and Scoring of the Series 17 Examination

How the Exam is Scored

How the Passing Score is Determined

Candidates’ Test Results

The Series 17 Content Outline

Functions, Tasks, Knowledge and Rules

Knowledge Statements

Rules and Regulations

Sample Questions

References

United Kingdom Securities Representative Qualification Examination (Series 17) Content Outline © 2015 FINRA TABLE OF CONTENTS INTRODUCTION…………………………………………………………………………………………………………………..3 THE PURPOSE OF THE SERIES 17 EXAMINATION ..................................................................................................3 ELIGIBILITY REQUIREMENTS ....................................................................................................................................3 APPLICATION PROCEDURES ....................................................................................................................................4 DEVELOPMENT OF THE SERIES 17 CONTENT OUTLINE AND EXAMINATION.....................................................4 Development of the Series 17 Content Outline.....................................................................................................4 Organization of the Series 17 Content Outline .....................................................................................................4 Additional Information and Resources..................................................................................................................5 Examination Development and Maintenance........................................................................................................5 ADMINISTRATION AND SCORING OF THE SERIES 17 EXAMINATION…………………………………….6 The Administration of the Series 17 Examination ................................................................................................6 How the Exam is Scored .........................................................................................................................................6 How the Passing Score is Determined ..............................................................................................................7 Candidates’ Test Results....................................................................................................................................7 THE SERIES 17 CONTENT OUTLINE..........................................................................................................................8 FUNCTIONS, TASKS, KNOWLEDGE AND RULES ................................................................................................8 KNOWLEDGE STATEMENTS................................................................................................................................10 RULES AND REGULATIONS.................................................................................................................................22 SAMPLE QUESTIONS ................................................................................................................................................42 REFERENCES ............................................................................................................................................................44 Table 1—Number of Test Questions on the Series 17 Examination by Major Job Functions………………...…. 6 INTRODUCTION The United Kingdom Securities Representative Qualification Examination (Series 17) is a subset of the General Securities Representative Qualification Examination (Series 7) . The examination is developed and maintained by the Financial Industry Regulatory Authority (FINRA) . This content outline provides a comprehensive guide to the topics covered on the Series 17 exam. The outline is intended to familiarize examination candidates with the range of subjects covered on the examination, as well as the depth of knowledge required. Sample questions are also included to acquaint candidates with the types of multiple-choice questions used on the examination. It is recommended that candidates refer to the content outline as part of their preparation to take the examination. Candidates are responsible for planning their course of study in preparation for the examina

FAQs

What is the purpose of the Series 17 examination?

The Series 17 examination addresses duplication of certain qualification requirements between the United States and the United Kingdom. It helps individuals with specific U.K. certifications obtain U.S. General Securities Representative (GS) eligibility through IE registration.

What eligibility requirements apply to take the Series 17 exam?

Candidates must satisfy FCA-identified prerequisite training and competence requirements, be registered with the FCA and in good standing, and take and pass the Series 17 qualification examination.

How are passing scores and candidate results determined?

The outline explains scoring methods, how the passing score is determined, and that candidates’ test results are reported accordingly as part of the administration and scoring process.

Sep 26, 2026

Uploaded by Margaret