Exam Series
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Series 3 – National Commodities Futures Exam
National Commodities Futures Exam
Series 4 – Registered Options Principal Exam
Registered Options Principal Exam
Series 6 – Investment Company & Variable Contracts Products Representative Exam
Investment Company & Variable Contracts Products Representative Exam
Series 7 – General Securities Representative Exam
General Securities Representative Exam
Series 9 & 10 – General Securities Sales Supervisor Exam
General Securities Sales Supervisor Exam
Series 14 – Compliance Officer Exam
Compliance Officer Exam
Series 16 – Supervisory Analysts Exam
Supervisory Analysts Exam
Series 22 – Direct Participation Programs Representative Exam
Direct Participation Programs Representative Exam
Series 23 – General Securities Principal Exam – Sales Supervisor
General Securities Principal Exam – Sales Supervisor
Series 24 – General Securities Principal Exam
General Securities Principal Exam
Series 26 – Investment Company and Variable Contracts Products Principal Exam
Investment Company and Variable Contracts Products Principal Exam
Series 27 – Financial and Operations Principal Exam
Financial and Operations Principal Exam
Series 28 – Introducing Broker-Dealer Financial and Operations Principal Exam
Introducing Broker-Dealer Financial and Operations Principal Exam
Series 30 – NFA Branch Manager Exam
NFA Branch Manager Exam
Series 31 – Futures Managed Funds Exam
Futures Managed Funds Exam
Series 32 – Limited Futures Exam – Regulations
Limited Futures Exam – Regulations
Series 34 – Retail Off-Exchange Forex Exam
Retail Off-Exchange Forex Exam
Series 39 – Direct Participation Programs Principal Exam
Direct Participation Programs Principal Exam
Series 50 – Municipal Advisor Representative Exam
Municipal Advisor Representative Exam
Series 51 – Municipal Fund Securities Limited Principal Exam
Municipal Fund Securities Limited Principal Exam
Series 52 – Municipal Securities Representative Exam
Municipal Securities Representative Exam
Series 53 – Municipal Securities Principal Exam
Municipal Securities Principal Exam
Series 54 – Municipal Advisor Principal Exam
Municipal Advisor Principal Exam
Series 57 – Securities Trader Representative Exam
Securities Trader Representative Exam
Series 63 – Uniform Securities Agent State Law Exam
Uniform Securities Agent State Law Exam
Series 65 – Uniform Investment Adviser Law Exam
Uniform Investment Adviser Law Exam
Series 66 – Uniform Combined State Law Exam
Uniform Combined State Law Exam
Series 79 – Investment Banking Representative Exam
Investment Banking Representative Exam
Series 82 – Private Securities Offerings Representative Exam
Private Securities Offerings Representative Exam
Series 86 & 87 – Research Analyst Exam
Research Analyst Exam
Series 99 – Operations Professional Exam
Operations Professional Exam
SIE
Securities Industry Essentials Exam
The Securities Industry Essentials (SIE) exam is an introductory FINRA exam that assesses basic knowledge of the securities industry including types of products, markets, regulatory agencies, and prohibited practices.