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FINRA Introductory-level
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FINRA Principal level
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FINRA Representative-level
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General Securities Representative
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Municipal Securities Rulemaking Body (MSRB)
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National Futures Association (NFA)
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North American Securities Administrators Association (NASAA)
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Explore All FINRA Exams

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