List of securities examinations

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 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
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