FINRA Introductory-level | |
---|---|
SIE
Securities Industry Essentials (SIE) View Details |
FINRA Principal level | |
---|---|
Series-4
Registered Options Principal On Demand |
|
Series-9
General Securities Sales Supervisor On Demand |
|
Series-10
General Securities Sales Supervisor On Demand |
|
Series-14
Compliance Officer On Demand |
|
Series-16
Supervisory Analysts On Demand |
|
Series-23
General Securities Principal On Demand |
|
Series-24
General Securities Principal On Demand |
|
Series-26
Investment Company Products/Variable Contracts Limited Principal On Demand |
|
Series-27
Financial and Operations Principal On Demand |
|
Series-28
Introducing Broker/Dealer Financial and Operations Principal On Demand |
|
Series-39
Direct Participation Programs Limited Principal On Demand |
FINRA Representative-level | |
---|---|
Series-6
Investment Company and Variable Contracts Products Representative View Details |
|
Series-22
Direct Participation Programs Limited Representative On Demand |
|
Series-57
Securities Trader Representative On Demand |
|
Series-79
Investment Banking Representative View Details |
|
Series-82
Private Securities Offerings Representative On Demand |
|
Series-86
Research Analyst On Demand |
|
Series-87
Research Analyst On Demand |
|
Series-99
Operations Professional Exam On Demand |
General Securities Representative | |
---|---|
Series-7
General Securities Representative View Details |
Municipal Securities Rulemaking Body (MSRB) | |
---|---|
Series-50
Municipal Advisor Representative On Demand |
|
Series-51
Municipal Fund Securities Limited Principal On Demand |
|
Series-52
Municipal Securities Representative On Demand |
|
Series-53
Municipal Securities Principal On Demand |
|
Series-54
Municipal Advisor Principal On Demand |
National Futures Association (NFA) | |
---|---|
Series-3
National Commodities Futures On Demand |
|
Series-30
NFA Branch Manager On Demand |
|
Series-31
Futures Managed Funds On Demand |
|
Series-32
Limited Futures On Demand |
|
Series-34
Retail Off-Exchange Forex On Demand |
North American Securities Administrators Association (NASAA) | |
---|---|
Series-63
Uniform Securities Agent State Law View Details |
|
Series-65
Uniform Investment Adviser Law On Demand |
|
Series-66
Uniform Combined State Law On Demand |