FINRA Qualification Exams

  1. 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.
  2. 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.
  3. Series 22 - Direct Participation Program Limited Representative

    An exam that is required in order for a registered representative to deal DPPs.
  4. Series 26 - Investment Co/Variable Contracts

    An exam required for an individual wishing to act as a principal for investment companies and annuity activities.
  5. 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.
  6. 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...
  7. Series 6 - Mutual Fund and Annuity Representative

    Completion of this exam allows you to conduct business in both investment company and variable contract products.
  8. Series 9/10 - General Securities Supervisor

    You must complete both of these exams in order to supervise general sales activities.
  9. Series 24 - General Securities Principal (GP)

    Series 24 - General Securities Principal (GP) Focuses on NASD regulations, brokerage office operations, and other supervisory concerns required...
  10. 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.
  11. Series 65 - Uniform Investment Advisor Law Examination

    An exam that qualifies a finance professional to become an investment advisor representative.
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