General Information on Series 17, 37 & 38 Exams

Individuals that have been properly registered in Canada or the United Kingdom may be eligible to act as a General Securities Representative in the United States (U.S.) by meeting certain criteria and passing the applicable qualifying examination below.

• Series 17 Exam – Instructions on how to request U.S. registration for individuals who are currently or have previously been registered in the United Kingdom.
  • Chartered Institute for Securities & Investment (CISI) Examination Verification Form for Series 17 Candidates (PDF 60 KB)
• Series 37 & 38 Exams – Instructions on how to request U.S. registration for individuals who are currently or have previously been registered in Canada.