Exam |
Description |
Series 3 |
National Commodities Futures |
Series 4 |
Registered Options Principal |
Series 5 |
Interest Rate Option |
Series 6 |
Investment Co./Variable Contracts Rep |
Series 7 |
General Securities Representative (includes NYSE development fee $90) |
Series 9 |
General Securities Sales Supervisor (Options Module) |
Series 10 |
General Securities Sales Supervisor (General Module) |
Series 11 |
Assistant Representative - Order Processing |
Series 12 |
Branch Manager NYSE |
Series 14 |
Compliance Officer NYSE |
Series 15 |
Foreign Currency Options |
Series 16 |
Supervisory Analyst NYSE (1 or 2 parts depending on NYSE requirements) |
Series 17 |
Limited Registered Representative (IE) |
Series 22 |
Direct Participation Programs Representative |
Series 23 |
General Securities Principal Qualification Examination Sales Supervisor Module |
Series 24 |
General Securities Principal |
Series 26 |
Investment Co./Variable Contracts Principal |
Series 27 |
Financial and Operations Principal |
Series 28 |
Introducing Broker/Dealer Financial and Operations Principal |
Series 30 |
Branch Managers Exam - Futures |
Series 31 |
Futures Managed Funds Examination |
Series 32 |
Limited Futures Exam-Regulation |
Series 33 |
Financial Instruments Examination |
Series 37 |
Canada Module of S7 (Options Required) |
Series 38 |
Canada Module of S7 (No Options Required) |
Series 39 |
Direct Participation Program Principal |
Series 42 |
Registered Options Representative |
Series 51 |
Municipal Fund Securities Principal |
Series 52 |
Municipal Securities Representative |
Series 53 |
Municipal Securities Principal |
Series 55 |
Limited Representative-Equity Trader |
Series 62 |
Corporate Securities Limited Representative |
Series 63 |
Uniform Securities Agent State Law Exam |
Series 65 |
Uniform Investment Advisor Exam |
Series 66 |
Uniform Combined State Law Exam** (equivalent of S-63 plus S-65)
** S-7 is a prerequisite to the S-66. S-66 is the equivalent of S-63 plus S-65. |
Series 72 |
Government Securities Representative |
Series 82 |
Limited Representative-Private Securities Offerings |
Series 86 |
Research Analyst (RS) – Part I--Analysis Module |
Series 87 |
Research Analyst (RS) – Part II--Regulations Module |
