Qualification Exam Programs

Applicants should call the appropriate local District Office, requesting the Membership Examiner of the Day, or FINRA Member Services listed below if additional assistance with filing applications is desired.

 

Registration Category	Primary Examination	Substitutable Examination(s)	Prerequisite Examination(s)
Options Principal	4	none	7 or 62
Investment Company/Variable Contracts Representative	6	7	none
General Securities Representative	7	Combination of 6, 22, 42, 52, 62, and 72
General Securities Sales Supervisor	8	Combination of 4, 24, and 53 combination	7
General Securities Sales Supervisor—Options Module Examination	9	S4	S7
General Securities Sales Supervisor—General Module Examination	10	none	S7
Assistant Representative Order Processing	11	none	none
Foreign Currency Options	15	7 or 62	none
Limited Registered Representative registration	17	7 or substitutable combination	FSA
Direct Participation Programs Representative	22	7	none
General Securities Principal	24	none	7, 62, 17, 37, 38, or 82
Investment Company/Variable Contracts Principal	26	24	6 or 7
Financial and Operations Principal	27	none	none
Introducing Broker/Dealer Financial and Operations Principal	28	27	none
Canada Module of S7 (Options Required) registration	37	7 or substitutable combination	CAN
Canada Module of S7 (Options Not Required) registration	38	7 or substitutable combination	CAN
Direct Participation Programs Principal	39	24	7 or 22
Registered Options Representative	42	7	62 or 72
Municipal Securities Representative	52	7	none
Municipal Securities Principal	53	none	7 or 52
Equity Trader	55	none	7, 62, 17, 37, or 38
Corporate Securities Representative	62	7	none
Government Securities Representative	72	7	none
Government Securities Principal	none	none	72
Private Placement Representative	82	7 or 62	none
Municipal Fund Securities Representative	51	none	24 or 26