Sunday, November 19, 2017
   
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Available Licenses and Registrations



  • Series 2 - NASD Nonmember General Securities [discontinued 6/30/97]
  • Series 3 - Commodity Futures Examination
  • Series 4 - Registered Options Principal
  • Series 5 - Interest Rate Options Examination
  • Series 6 - Investment Company and Variable Contracts Products Rep.
  • Series 7 - Full Registration/General Securities Representative
  • Series 7 - Securities Traders (NYSE)
  • Series 7 - Trading Supervisor (NYSE)
  • Series 8 - General Securities Sales Supervisor
  • Series 8 - Branch Office Manager (NYSE)
  • Series 11 - Assistant Representative/Order Processing
  • Series 15 - Foreign Currency Options
  • Series 16 - Supervisory Analyst
  • Series 22 - Direct Participation Program Representative
  • Series 24 - General Securities Principal
  • Series 26 - Investment Company and Variable Contracts Principal
  • Series 27 - Financial and Operations Principal
  • Series 28 - Introducing Broker-Dealer/Financial and Operations Principal
  • Series 30 - Branch Office Manager Futures
  • Series 31 - Futures Managed Funds
  • Series 32 - Futures U.K. Representatives
  • Series 33 - Futures - Financials only
  • Series 37 - Canadian RR Full Exam (includes options)
  • Series 38 - Canadian RR Limited Securities (excludes options)
  • Series 39 - Direct Participation Program Principal
  • Series 42 - Options Representative
  • Series 47 - Japan RR General Securities
  • Series 52 - Municipal Securities Representative
  • Series 53 - Municipal Securities Principal
  • Series 62 - Corporate Securities Representative
  • Series 63 - Uniform Securities Agent State Law Examination
  • Series 65 - Uniform Investment Advisor Law Examination
  • Series 66 - Unified Combined (RIA) State Law Exam (basically the 65 + 63)