The following is a list of the U.S. Financial Industry Regulatory Authority (FINRA), NASAA, and National Futures Association (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/Variable Annuities)
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 44 - NYSE Arca Options Market Maker Exam
Series 47 - Japanese Module of the General Securities Exam
Series 52 - Municipal Securities Representative Exam
Series 55 - Equity Trader - Limited Representative Exam
Series 56 - Proprietary Trader Qualification 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 79 - Investment Banking Exam
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