| 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 |
