Registered Principals' Responsibilities

Equity options; foreign currency options; interest rate options; index options; options on government and mortgage-backed securities

Registered Options Principal - Series 4

Sales of corporate securities; rights; warrants; closed-end funds; money market funds; REITS; asset-backed securities; mortgage-backed securities (corporate); equity options; options on (corporate) mortgage-backed securities; mutual funds; variable annuities and variable life insurance; government securities; repos and certificates of accrual on government securities; municipal securities and municipal fund securities; direct participation programs

General Securities Sales Supervisor – Series 9 and Series 10

Corporate securities; rights; warrants; closed-end funds; money market funds; REITS; asset-backed securities; (corporate) mortgage-backed securities; mutual funds; variable annuities and variable life insurance; direct participation programs; securities traders; venture capital; mergers and acquisitions; corporate financing

General Securities Principal—Sales Supervisor Module - Series 23 or General Securities Principal - Series 24

Mutual funds; variable annuities and variable life insurance

Investment Company Products/Variable Contracts Limited Principal - Series 26

Back office operations; preparation and maintenance of member's books and records; compliance with financial responsibility rules applicable to self-clearing broker/dealers and market makers

Financial and Operations Principal - Series 27

Back office operations; preparation and maintenance of member's books and records; compliance with financial responsibility rules applicable to fully disclosed broker/dealers who do not hold customer funds and securities and do not carry customer accounts

Introducing Broker/Dealer Financial and Operations Principal - Series 28

Direct participation programs (real estate; oil and gas; equipment leasing) limited partnerships; limited liability companies; S corporations

Direct Participation Programs Limited Principal - Series 39

Municipal fund securities (e.g., 529 College Savings Plans, Local Government Investment Pools (LGIPs))

Municipal Fund Securities Principal - Series 51

Municipal securities, including municipal fund securities (e.g., 529 College Savings Plans, Local Government Investment Pools (LGIPs))

Municipal Securities Principal - Series 53