List of Securities Examinations
From Wikipedia, the free encyclopedia
The following is a list of FINRA, NASAA, and NFA financial securities examinations. Most FINRA examinations are divided into two categories: Registered Representative and Registered Principal levels. An asterisk designates that there is no sponsorship requirement in order take the exam.
Registered Representative Level:
Series 3 National Commodity Futures Exam*
Series 5 Interest Rate Options Exam
Series 6 Investment Company and Variable Contracts Exam (Mutual Funds)
Series 7 General Securities Representative Exam (Stockbroker)
Series 11 Assistant Representative - Order Processing
Series 15 Foreign Currency Options Exam
Series 17 Limited Representative (FSA registration)
Series 22 Direct Participation (Limited partnerships) Exam
Series 30 Futures - Branch Office Manager Exam*
Series 31 Futures - Managed Funds Exam*
Series 32 Futures Exam - United Kingdom Representatives*
Series 37 Canadian Module of the General Securities Exam
Series 38 Canadian Module of the General Securities Exam
Series 42 Registered Options Representative Exam
Series 47 Japanese Module of the General Securities Exam
Series 52 Municipal Securities Representative Exam
Series 55 Equity Trader - Limited Representative Exam
Series 62 Corporate Securities - Limited Representative Exam
Series 63 Uniform Securities Agent State Law Exam*
Series 65 Uniform Registered Investment Adviser Law Exam (RIA)*
Series 66 Uniform Investment Adviser - Combined State Laws Exam* (Combined 63 and 65)
Series 72 Government Securities - Limited Representative
Series 82 Private Securities Offerings - Limited Representative
Series 86 Research Analyst - Securities Analysis
Series 87 Research Analyst - Regulations
Registered Principal Level:
Series 4 Registered Options Principal Exam
Series 9 NYSE General Securities Sales Supervisor Exam - Options
Series 10 NYSE General Securities Sales Supervisor Exam - General Module
Series 12 NYSE Branch Manager
Series 14 NYSE Compliance Officer
Series 16 NYSE Supervisory Analyst
Series 23 General Securities Principal (Upgrade from Series 9 and 10)
Series 24 General Securities Principal Exam
Series 26 Investment Company (Mutual Funds) Principal Exam
Series 27 Financial and Operations Principal Exam
Series 28 Financial and Operations Principal Introducing Broker Exam
Series 39 Direct Participation Programs Principal Exam
Series 51 Municipal Fund Securities Limited Principal
Series 53 Municipal Securities Principal Exam
