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List of Securities Examinations
This is a partial list of Securities Examinations. If you have any suggestions/additions/changes please email us at [email protected].
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| 1 | Series 3 – | National Commodity Futures Exam |
| 2 | Series 5 – | Interest Rate Options Exam |
| 3 | Series 6 – | Investment Company and Variable Contracts Exam (Mutual Funds/Variable Annuities) |
| 4 | Series 7 – | General Securities Representative Exam (Stockbroker) |
| 5 | Series 11 – | Assistant Representative – Order Processing |
| 6 | Series 15 – | Foreign Currency Options Exam |
| 7 | Series 17 – | Limited Representative (FSA registration) |
| 8 | Series 22 – | Direct Participation (Limited partnerships) Exam |
| 9 | Series 30 – | Futures – Branch Office Manager Exam |
| 10 | Series 31 – | Futures – Managed Funds Exam |
| 11 | Series 32 – | Futures Exam – United Kingdom Representatives |
| 12 | Series 37 – | Canadian Module of the General Securities Exam |
| 13 | Series 38 – | Canadian Module of the General Securities Exam |
| 14 | Series 42 – | Registered Options Representative Exam |
| 15 | Series 44 – | NYSE Arca Options Market Maker Exam |
| 16 | Series 47 – | Japanese Module of the General Securities Exam |
| 17 | Series 52 – | Municipal Securities Representative Exam |
| 18 | Series 55 – | Equity Trader – Limited Representative Exam |
| 19 | Series 56 – | Proprietary Trader Qualification Exam |
| 20 | Series 62 – | Corporate Securities – Limited Representative Exam |
| 21 | Series 63 – | Uniform Securities Agent State Law Exam |
| 22 | Series 65 – | Uniform Registered Investment Adviser Law Exam (RIA) |
| 23 | Series 66 – | Uniform Investment Adviser – Combined State Laws Exam (Combined 63 and 65) |
| 24 | Series 72 – | Government Securities – Limited Representative |
| 25 | Series 79 – | Investment Banking Exam |
| 26 | Series 82 – | Private Securities Offerings – Limited Representative |
| 27 | Series 86 – | Research Analyst – Securities Analysis |
| 28 | Series 87 – | Research Analyst – Regulations |
| 29 | Series 99 – | Operations Professional |
| 30 | Series 4 – | Registered Options Principal Exam |
| 31 | Series 9 – | NYSE General Securities Sales Supervisor Exam – Options |
| 32 | Series 10 – | NYSE General Securities Sales Supervisor Exam – General Module |
| 33 | Series 12 – | NYSE Branch Manager |
| 34 | Series 14 – | NYSE Compliance Officer |
| 35 | Series 16 – | NYSE Supervisory Analyst |
| 36 | Series 23 – | General Securities Principal (Upgrade from Series 9 and 10) |
| 37 | Series 24 – | General Securities Principal Exam |
| 38 | Series 26 – | Investment Company (Mutual Funds) Principal Exam |
| 39 | Series 27 – | Financial and Operations Principal Exam |
| 40 | Series 28 – | Financial and Operations Principal Introducing Broker Exam |
| 41 | Series 39 – | Direct Participation Programs Principal Exam |
| 42 | Series 51 – | Municipal Fund Securities Limited Principal |
| 43 | Series 53 – | Municipal Securities Principal Exam |
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