Series License

The goal for this book is to make it a reference source with related information so one can use this material to actually study for their Series license. The following are licenses that are offered by the NASD by clicking on the links below you will be directed towards relevant material so one can study for the license in question.

Do Not Require Firm Sponsorships

  • Series 3 National Commodities Futures
  • Series 30 Branch Managers Exam - Futures
  • Series 31 Futures Managed Funds Examination
  • Series 32 Limited Futures Exam-Regulation
  • Series 33 Financial Instruments Examination
  • Series 63 Uniform Securities Agent State Law Exam
  • Series 65 Uniform Investment Advisor Exam
  • Series 66 Uniform Combined State Law Exam** (equivalent of Series 63 plus Series 65) **Series 7 is a co-requisite to the Series 66[1].

If you plan to sit for any of the above exams and you are not affiliated with a brokerage firm registered with NASD, you will need to submit a Form U-10, or Click on Submit U10 online with credit card payment.

Require Firm Sponsorships

  • Series 4 Registered Options Principal
  • Series 5 Interest Rate Option
  • Series 6 Investment Co.-Variable Contracts Rep
  • Series 7 General Securities Representative Exam
  • Series 9 General Securities Sales Supervisor (Options Module)
  • Series 10 General Securities Sales Supervisor (General Module)
  • Series 11 Assistant Representative - Order Processing
  • Series 12 Branch Manager NYSE
  • Series 14 Compliance Officer NYSE
  • Series 15 Foreign Currency Options
  • Series 16 Supervisory Analyst NYSE (1 or 2 parts depending on NYSE requirements)
  • Series 17 Limited Registered Representative (IE)
  • Series 22 Direct Participation Programs Representative
  • Series 23 General Securities Principal Qualification Examination Sales Supervisor Module
  • Series 24 General Securities Principal
  • Series 26 Investment Co./Variable Contracts Principal
  • Series 27 Financial and Operations Principal
  • Series 28 Introducing Broker/Dealer Financial and Operations Principal
  • Series 37 Canada Module of S7 (Options Required)
  • Series 38 Canada Module of S7 (No Options Required)
  • Series 39 Direct Participation Program Principal
  • Series 42 Registered Options Representative
  • Series 51 Municipal Fund Securities Principal
  • Series 52 Municipal Securities Representative
  • Series 53 Municipal Securities Principal
  • Series 55 Limited Representative-Equity Trader
  • Series 62 Corporate Securities Limited Representative
  • Series 72 Government Securities Representative
  • Series 82 Limited Representative-Private Securities Offerings
  • Series 86 Research Analyst (RS) – Part I--Analysis Module
  • Series 87 Research Analyst (RS) – Part II--Regulations Module

External Resources

References

Last modified on 20 March 2014, at 04:10