NASD Securities Licensing Reference List

Exam

Description

Series 3 National Commodities Futures
Series 4 Registered Options Principal
Series 5 Interest Rate Option
Series 6 Investment Co./Variable Contracts Rep
Series 7 General Securities Representative (includes NYSE development fee $90)
Series 9 General Securities Sales Supervisor (Options Module)
Series 10 General Securities Sales Supervisor (General Module)
Series 11 Assistant Representative – Order Processing
Series 12 Branch Manager NYSE
Series 14 Compliance Officer NYSE
Series 15 Foreign Currency Options
Series 16 Supervisory Analyst NYSE (1 or 2 parts depending on NYSE requirements)
Series 17 Limited Registered Representative (IE)
Series 22 Direct Participation Programs Representative
Series 23 General Securities Principal Qualification Examination Sales Supervisor Module
Series 24 General Securities Principal
Series 26 Investment Co./Variable Contracts Principal
Series 27 Financial and Operations Principal
Series 28 Introducing Broker/Dealer Financial and Operations Principal
Series 30 Branch Managers Exam – Futures
Series 31 Futures Managed Funds Examination
Series 32 Limited Futures Exam-Regulation
Series 33 Financial Instruments Examination
Series 37 Canada Module of S7 (Options Required)
Series 38 Canada Module of S7 (No Options Required)
Series 39 Direct Participation Program Principal
Series 42 Registered Options Representative
Series 51 Municipal Fund Securities Principal
Series 52 Municipal Securities Representative
Series 53 Municipal Securities Principal
Series 55 Limited Representative-Equity Trader
Series 62 Corporate Securities Limited Representative
Series 63 Uniform Securities Agent State Law Exam
Series 65 Uniform Investment Advisor Exam
Series 66 Uniform Combined State Law Exam** (equivalent of S-63 plus S-65)
** S-7 is a prerequisite to the S-66. S-66 is the equivalent of S-63 plus S-65.
Series 72 Government Securities Representative
Series 82 Limited Representative-Private Securities Offerings
Series 86 Research Analyst (RS) – Part I–Analysis Module
Series 87 Research Analyst (RS) – Part II–Regulations Module


Comments are closed.