NASD Qualification Exams

Series 3 - National Commodities Futures
An exam that must be successfully completed in order to register with the National Futures Association and trade commodities or futures contracts.

Series 7 - General Securities Representative
This exam focuses on the tools and concepts you need in order to buy/sell securities traded in the U.S.

Series 22 - Direct Participation Program Limited Representative
An exam that is required in order for a registered representative to deal DPPs.

Series 26 - Investment Co/Variable Contracts
An exam required for an individual wishing to act as a principal for investment companies and annuity activities.

Series 63 - Uniform Securities Agent State Law
Completion of this exam is necessary for you to solicit orders for any type of security in a specific state.

Series 66 - Uniform Combined State Law
Equivalent to a combination of both the Series 63 and Series 65 exams, completion of this exam will qualify an individual to register as an Investment Advisor Representative.

Series 6 - Mutual Fund and Annuity Representative
Completion of this exam allows you to conduct business in both investment company and variable contract products.

Series 9/10 - General Securities Supervisor
You must complete both of these exams in order to supervise general sales activities.

Series 24 - General Securities Principal (GP)
Focuses on NASD regulations, brokerage office operations, and other supervisory concerns required in order for an individual to manage or supervise branch activities.

Series 55 - Equity Trader Limited Representative
Completion qualifies an individual to act as either a principal or agent in equity and convertible debt securities transactions.

Series 65 - Uniform Investment Advisor Law Examination
An exam that qualifies a finance professional to become an investment advisor representative.