Securities Licensing Courses Offered

Note: All FINRA(NASD) exams and study programs are continually being updated.

You should take your exam within 120 days of ordering your study materials!

Series 3 National Commodity Futures Exam (& ForEx)

• The National Futures Association (NFA) and the various domestic commodity futures exchanges require this exam for anyone who is going to act as an Associated Person, Commodity Trading Adviser, Commodity Pool Operator, Introducing Broker, or Futures Commission Merchant. The NFA is also requiring those who trade ForEx (foreign exchange) to pass the Series 3 exam.
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Series 4 Registered Options Principal

• The options exchanges, NYSE and FINRA (NASD) require this test for people who will supervise the day-to-day activities of representatives who conduct business for the public in the options markets. Series 7, 42 or 62 is a prerequisite.
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Series 7 General Securities Registered Representative

• This exam is a New York Stock Exchange (NYSE) generated exam --accepted by FINRA (NASD)-- for anyone employed by a broker/dealer who will trade all types of securities. This is the most comprehensive of the registered representative exams.
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Series 9 and 10 General Securities Sales Supervisor

• Any person who manages or supervises the daily activities of a NYSE-member broker/dealer's sales staff is required to take this examination by FINRA(NASD), NYSE, the various options exchanges, and the MSRB (Municipal Securities Board).
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Series 11 Assistant Representative - Order Processing

• The "Assistant Representative-Order Processing" category of registration applies to persons associated with a FINRA (NASD) member firm who accept telephone or other communications from the public for the purposes of providing current securities quotations and accepting unsolicited customer orders for submission to the normal order execution operations of the member.
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Series 14 NYSE Compliance Official

• The Series 14 exam qualifies an individual to supervise overall compliance at New York Stock Exchange member firms.
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Series 17 General Securities Representative "Add On" License for U.K. Representatives

• The Series 17 examination is an "add-on" test to the British securities license, that gives an individual the equivalent of the U.S. Series 7 General Securities license without having to duplicate material already covered in the British exam.
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Series 24 General Securities Principal Exam

• Any person who manages or supervises representatives in investment banking, training, solicitation, as well as the general conduct of business operations is required by FINRA(NASD) to sit for this exam.
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Series 26 Investment Company and Variable Contracts Products Registered Principal

• This is a limited principal registration for those who will manage or supervise representatives whose activities are limited to the offer, sale, or purchase of mutual funds, closed end funds, or the sale of variable annuity contracts. Some states require this exam for investment adviser registration.
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Series 27 Financial and Operations Principal

• Any person involved in the financial and operational management of a FINRA(NASD) member firm (including the chief financial officer) must pass this exam. The tasks of this individual include preparing and attesting to the accuracy of the Securities and Exchange Commission's FOCUS Reports.
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Series 30 Branch Office Manager Futures

• The Series 30 is required for those who act as a branch office manager for a commodity futures firm registered with the NFA. Individuals whose sponsor is a registered broker-dealer may, in lieu of the Series 30 exam, provide proof that they are qualified to act as a branch office manager or designated supervisor under the rules of the New York Stock Exchange or FINRA. The Series 3 exam is a prerequisite.
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Series 31 Futures Managed Funds

• This test is required for those who wish to receive trailing commissions on commodity limited partnerships, commodity pools, or managed accounts guided by Commodity Trading Advisers. It is also meant for those supervising these same limited activities. Individuals who take this exam in lieu of the Series #3 cannot open individual futures trading accounts. The Series 7 exam is a prerequisite.
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Series 34 Limited Futures Examination - United Kingdom

• The National Futures Association has amended Registration Rule 401 to allow a General Representative or a Futures and Options Representative, who has taken and passed the exams of the Securities and Futures Authority in the United Kingdom, to meet NFA requirements by passing a shortened version of the U.S. commodity futures exam.
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Series 51 Municipal Fund Securities Limited Principal

• This limited principal exam is required by the MSRB for any person who manages representatives who handle Section 529 college savings plans. 529 Plans are deemed municipal securities and, therefore, are under the jurisdiction of the MSRB.
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Series 53 Municipal Securities Principal

• This limited principal exam is required by the MSRB for any person who manages representatives who handle municipal securities only.
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Series 55 Limited Representative - Equity Trader

• Every individual who functions as an "Equity Trader", as defined by FINRA(NASD) must pass this exam. The exam is supposed to assure that traders have more consistent understanding of securities industry rules and practices.
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Series 56 Proprietary Traders

• The Series 56 Proprietary Traders Qualification Examination is designed to test a candidate’s knowledge of applicable products, securities markets, trading and reporting practices, investment strategies, and anti-fraud provisions as applicable to the role of a proprietary trader.
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Series 63 Uniform Securities Agent Laws

• Individual states sometimes require this exam as a condition of registration as a registered representative.
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Series 65 Uniform Registered Investment Adviser Examination

• As modified on January 1, 2000 by NASAA, this exam is required by most states for individuals who wish to act as investment advisers. Some states require the principals of the RIA to score greater than a 70%. This exam is waived by some states if the applicant has the CFP (Certified Financial Planner), the ChFC (Chartered Financial Consultant), APFS (Accredited Personal Financial Specialist), CFA (Chartered Financial Analyst), the CIC (Chartered Investment Counselor), or other designations or items as ruled by the (state) administrator.
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Series 66 Uniform Combined Registered Investment Adviser - State Laws

• The #66 consists of questions covering the Series 63 and a portion of the Series 65 that is not redundant to the Series 7 exam. The Series 66 is only valid with the Series 7 exam. Even though the test is essentially two areas, a passing score of 71% based on the total number of questions is required.
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Series 82 Limited Representative-Private Securities Offerings

• The FINRA Series 82 Limited Representative-Private Securities Offerings Qualification Exam is used to qualify individuals to be a registered representative and effect sales of private securities offerings as part of a primary offering.
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