North America List of securities examinations

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1 north america

1.1 canada
1.2 united states of america

1.2.1 registered representative level
1.2.2 registered principal level







north america
canada

canadian securities institute (csi) – variety of exams certification.
ifse institute (ifse) – variety of exams certification.

united states of america

the following list of u.s. financial industry regulatory authority (finra), nasaa, , national futures association (nfa) financial securities examinations. finra examinations divided 2 categories: registered representative , registered principal levels. asterisk designates there no sponsorship requirement in order take exam.


registered representative level

series 3 – national commodities futures exam*
series 5 – interest rate options exams
series 6 – investment company , 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 (fca 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 general securities exam
series 38 – canadian module of general securities exam
series 42 – registered options representative exam
series 44 – nyse arca options market maker exam
series 47 – japanese module of general securities exam
series 52 – municipal securities representative exam
series 55 – equity trader – limited representative exam
series 56 – proprietary trader qualification exam
series 57 – securities trader qualification 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 , 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
series 99 – operations professional

registered principal level

series 4 – registered options principal exam
series 9 – general securities sales supervisor exam – options
series 10 – general securities sales supervisor exam – general module
series 12 – nyse branch manager
series 14 – nyse compliance officer
series 14a – nyse dmm compliance official examination
series 16 – nyse supervisory analyst
series 23 – general securities principal (upgrade series 9 , 10)
series 24 – general securities principal exam
series 26 – investment company , variable contracts products principal exam
series 27 – financial , operations principal exam
series 28 – financial , 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




^ http://www.finra.org/industry/series57






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