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The Financial Industry National Regulatory Authority (FINRA (formerly NASD)) Series 7 exam is generally the licensing test that one must pass in order to become a stockbroker. In order to take the exam, one must first obtain "sponsorship"/employment from a FINRA or exchange member firm. In addition, one must submit a set of fingerprints and undergo a basic background check. Typically to register with a firm and consequently the exam you have to complete a U-4 application. On this application you must disclose such things as prior work history, criminal background (if any), etc.