All Series Exams

This was a sheet I made up, figured I should share. This is ALL of the current active licenses people can get, and what they are called.


Series Name
3 National Commodities Futures Exam
4 Registered Options Principal Exam (OP)
6 Investment Company and Variable Contracts Products Rep Exam
7 General Securities Rep Exam (GS)
9 General Securities Sales Supervisor Exam
10 General Securities Sales Supervisor Exam
11 Assistant Representative – Order Processing Exam (AR)
14 Compliance Official Exam (CO)
16 Supervisory Analysts Exam (SA)
17 UK Securities Rep (SA)
22 Direct Participation Programs Limited Rep Exam
23 General Securities Princ Exam Sales Supervisor Module (GP)
24 General Securities Principal Exam (GP)
26 Investment Company and Variable Contracts Products Principal Exam (IP)
27 Financial and Operations Principal Exam (FN)
28 Introducing Broker-Dealer Financial and Operations Principal Exam (FI)
30 NFA Branch Manager Exam (formerly BME-Futures)
31 Future Managed Funds Exam
32 Limited Futures Exam – regulations
34 Retail Off-Exchange Forex Exam
37 Canada Securities Rep Exam (CD)
38 Canada Securities Rep Exam (CN)
39 Direct Participation Programs Principal Exam (DP)
42 Registered Options Rep Exam (OR)
50 Municipal Advisor Rep Exam
51 Municipal Fund Securities Limited Princ Exam
52 Municipal Securities Rep Exam (MR)
53 Municiapl Securities Princ Exam (MP)
55 Equity Trader Exam (ET)
56 Proprietary Trader Exam
62 Corporate Securities Rep Exam
63 Uniform Securities State Law Exam
65 NASAA Investment Advisors Law Exam
66 NASAA Uniform Combined State Law Exam
72 Government Securities Rep Exam (RG)
79 Investment Banking Rep Exam (IB)
82 Private Securities Offerings Rep Exam
99 Operations Professional Exam
86 Research Analyst Exam (RS)
87 Research Analyst Exam (RS)
91 FDIC Safety and Soundness Technical Eval
92 FDIC Compliance Technical Eval
93 FDIC Division of Resolutions and Receiverships Technical Eval