The following is a list of the U.S. Financial Industry Regulatory Authority

Financial Industry Regulatory Authority

In the United States, the Financial Industry Regulatory Authority, Inc., or FINRA, is a private corporation that acts as a self-regulatory organization . FINRA is the successor to the National Association of Securities Dealers, Inc. ...

 (FINRA), NASAA

NASAA

NASAA can means:* National Assembly of State Arts Agencies* National Association of State Approving Agencies* North American Securities Administrators Association...

, and National Futures Association

National Futures Association

The National Futures Association is an independent self-regulatory organization and watchdog of the commodities and futures industry in the United States. The NFA oversees and protects investors from fraudulent commodities and futures activities. The NFA also provides mediation and arbitration...

 (NFA) financial securities examinations. Most FINRA examinations are divided into two categories: Registered Representative

Registered Representative

A Registered Representative, also called a General Securities Representative, a Stock Broker, or an Account Executive, is an individual who is licensed to sell securities and has the legal power of an agent....

 and Registered Principal levels. An asterisk designates that there is no sponsorship requirement in order take the exam.
Registered Representative Level:
Series 3 - National Commodity Futures Exam*

Series 5 - Interest Rate Options Exam

Series 6 - Investment Company and Variable Contracts Exam (Mutual Funds/Variable Annuities)

Series 7 - General Securities Representative Exam

General Securities Representative Exam

The General Securities Representative Exam, commonly referred to as the Series 7 Exam, is a required exam to become a Registered Representative of a broker-dealer in the United States....

 (Stockbroker)

Series 11 - Assistant Representative - Order Processing

Series 15 - Foreign Currency Options Exam

Series 17 - Limited Representative (FSA registration)

Series 22 - Direct Participation (Limited partnerships) Exam

Series 30 - Futures - Branch Office Manager Exam*

Series 31 - Futures - Managed Funds Exam*

Series 32 - Futures Exam - United Kingdom Representatives*

Series 37 - Canadian Module of the General Securities Exam

Series 38 - Canadian Module of the General Securities Exam

Series 42 - Registered Options Representative Exam

Series 44 - NYSE Arca Options Market Maker Exam

Series 47 - Japanese Module of the General Securities Exam

Series 52 - Municipal Securities Representative Exam

Series 55 - Equity Trader - Limited Representative Exam

Series 56 - Proprietary Trader Qualification Exam

Series 62 - Corporate Securities - Limited Representative Exam

Series 63 - Uniform Securities Agent State Law Exam

Uniform Securities Agent State Law Exam

The Uniform Securities Agent State Law Examination, commonly referred to as the Series 63, is developed by North American Securities Administrators Association and is administered by the Financial Industry Regulatory Authority...

*

Series 65 - Uniform Registered Investment Adviser Law Exam (RIA)*

Series 66 - Uniform Investment Adviser - Combined State Laws Exam (Combined 63 and 65)

Series 72 - Government Securities - Limited Representative

Series 79 - Investment Banking Exam

Investment Banking Exam

The Investment Banking Exam, commonly referred to as the Series 79, is an examination administered by the U.S. Financial Industry Regulatory Authority for investment banking professionals...

Series 82 - Private Securities Offerings - Limited Representative

Series 86 - Research Analyst - Securities Analysis

Series 87 - Research Analyst - Regulations
Registered Principal Level:
Series 4 - Registered Options Principal Exam

Series 9 - NYSE General Securities Sales Supervisor Exam - Options

Series 10 - NYSE General Securities Sales Supervisor Exam - General Module

Series 12 - NYSE Branch Manager

Series 14 - NYSE Compliance Officer

Series 16 - NYSE Supervisory Analyst

Series 23 - General Securities Principal (Upgrade from Series 9 and 10)

Series 24 - General Securities Principal Exam

General securities principal exam

The General Securities Principal Exam, commonly referred to as the Series 24 Exam, is administered by the U.S. Financial Industry Regulatory Authority which qualifies a registered individual to supervise or manage branch activities such as corporate securities, REITs, variable contracts, and...

Series 26 - Investment Company (Mutual Funds) Principal Exam

Series 27 - Financial and Operations Principal Exam

Series 28 - Financial and Operations Principal Introducing Broker Exam

Series 39 - Direct Participation Programs Principal Exam

Series 51 - Municipal Fund Securities Limited Principal

Series 53 - Municipal Securities Principal Exam

External links

• SEC
• NYSE
• FINRA