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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 info@gbrandsmag.com.

Please note that we appreciate that users do not post anonymously. Global Brands Magazine does not subscribe to the authenticity of the data below though efforts have been made to collect the data as accurately as possible. Please use the data as only a source of reference.

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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