List of Securities Examinations

List of Securities Examinations

The following is a list of FINRA, NASAA, and 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 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

ee also

* Registered Representative
* Registered Investment Advisor

External links

* [http://www.sec.gov/ SEC]
* [http://www.nyse.com NYSE]
* [http://www.finra.org FINRA]


Wikimedia Foundation. 2010.

Игры ⚽ Нужен реферат?

Look at other dictionaries:

  • Uniform Securities Agent State Law Exam — The Uniform Securities Agent State Law Examination, commonly referred to as the Series 63, is developed by NASAA and is administered by FINRA. The examination is designed to qualify candidates as securities agents within a state; nearly all… …   Wikipedia

  • General Securities Principal Exam — The General Securities Principal Exam, commonly referred to as the Series 24 Exam, is administered by the Financial Industry Regulatory Authority (FINRA) which qualifies a registered individual to supervise or manage branch activities such as… …   Wikipedia

  • General Securities Representative Exam — The General Securities Representative Exam, commonly referred to as the Series 7 Exam, is a required exam to become a Registered Representative of a broker dealer in the United States.The exam is a six hour, 260 question test (250 of which count… …   Wikipedia

  • List of Statutory Instruments of the United Kingdom, 1995 — This is a complete list of all 1,872 Statutory Instruments published in the United Kingdom in the year 1995. NOTOC 1 100* National Health Service (Optical Charges and Payments) (Scotland) Amendment Regulations 1995 S.I. 1995/1 * Plymouth… …   Wikipedia

  • List of Statutory Instruments of the United Kingdom, 1990 — NOTOC This is a complete list of all 1646 Statutory Instruments published in the United Kingdom in the year 1990.1 100* Caseins and Caseinates (Scotland) Amendment Regulations 1990 S.I. 1990/1 * Personal Community Charge (Relief) (England)… …   Wikipedia

  • List of Statutory Instruments of the United Kingdom, 1989 — NOTOC This is a complete list of all 1534 Statutory Instruments published in the United Kingdom in the year 1989.1 100* Criminal Justice Act 1988 (Commencement No. 5) Order 1989 S.I. 1989/1 * Food Protection (Emergency Prohibitions) (Wales)… …   Wikipedia

  • List of Statutory Instruments of the United Kingdom, 1988 — NOTOC This is a complete list of all 1558 Statutory Instruments published in the United Kingdom in the year 1988.1 100* Origin of Goods (Petroleum Products) Regulations 1988 S.I. 1988/1 * Export of Sheep (Prohibition) (No.2) Amendment Order 1988… …   Wikipedia

  • List of Statutory Instruments of the United Kingdom, 2006 — This is an incomplete list of Statutory Instruments of the United Kingdom in 2006. NOTOC 1 100* Public Contracts Regulations 2006 S.I. 2006/5 * Utilities Contracts Regulations 2006 S.I. 2006/6 * M6 Motorway (Junction 36, Town Head Bridge Parapet… …   Wikipedia

  • List of Statutory Instruments of the United Kingdom, 1992 — This is a complete list of all 1922 Statutory Instruments published in the United Kingdom in the year 1992. NOTOC 1 100* North Hull Housing Action Trust (Transfer of Property) Order 1992 S.I. 1992/1 * Merchant Shipping (Radio Installations)… …   Wikipedia

  • List of Statutory Instruments of the United Kingdom, 2007 — This is an incomplete list of Statutory Instruments of the United Kingdom in 2007. NOTOC 1 100* Cider and Perry and Wine and Made wine (Amendment) Regulations 2007 S.I. 2007/4 * Customs and Excise (Personal Reliefs for Special Visitors)… …   Wikipedia

Share the article and excerpts

Direct link
… Do a right-click on the link above
and select “Copy Link”