Official Series 39 resources for the FINRA DPP Principal exam, including exam facts, content outline, co-requisites, scoring, registration logistics, and study checkpoints.
Use these official resources as your source of truth.
Quick links:
| Resource | Why it matters |
|---|---|
| Series 39 exam page (FINRA) | Best starting point for current structure, DPP principal role framing, and co-requisite summary. |
| Series 39 Content Outline (PDF) | Best source for weighting, topic scope, and sample-item style. |
| FINRA Rule 1210 | Registration framework and exam-process rules. |
| FINRA Rule 1220(a)(12) | Core rule family for the DPP registration lane. |
| FINRA exam credit and validity | Use only if you have a specific prior-exam or lapse issue. |
| Fact to confirm | Current FINRA reference point |
|---|---|
| Registration | Direct Participation Programs Principal. |
| Item count | 100 items. |
| Time limit | 135 minutes. |
| Passing score | 70%. |
| Corequisite path | SIE plus Series 7 or Series 22. |
| Largest function | Structure and regulation of DPP offerings. |
Series 39 is the right route instead of Series 24 or another principal path| Outline area | Convert it into this question |
|---|---|
| DPP offering structure | What product, offering method, sponsor, dealer-manager, due-diligence, or compensation issue controls the answer? |
| Sales supervision | What customer, advertising, suitability, communication, or employee-supervision control is missing? |
| Financial responsibility | What report, record, capital, filing, or firm-control evidence should exist? |
Series 39 if the role is principal supervision inside a DPP business lineSeries 22 if the role is DPP representative activity rather than principal supervisionSeries 24 if the role is broader general-securities-principal supervision across business lines