Implementation Dates of Qualification Examinations

1

Registered Representative Examination

1956 – 7/80

2

Non-Member General Securities Examination

To 9/96

3

National Commodity Futures Examination

1966 – Present

4

Registered Options Principal Examination

4/75 – Present

5

Interest Rate Options Examination

12/81 – 3/10

6

Investment Company Products/Variable Contracts Representative Examination

8/80 – Present

7

General Securities Representative Examination

9/74 – Present

9

General Securities Sales Supervisor – Options Module Examination

9/81 – Present

10

General Securities Sales Supervisor – General Module Examination

9/81 – Present

11

Assistant Representative – Order Processing

1/90 – Present

12

NYSE Branch Manager Examination

1/64 – 4/84  

4/91 – 12/07

14

NYSE Compliance Official Examination

9/89 – Present

15

Foreign Currency Options Examination

9/82 – 11/08

16

NYSE Supervisory Analyst Examination

1/65 – Present

17

Limited Registered Representative Examination

5/91 – Present

18

Securities Industry Rules and Regulations Examination

To 6/88

21

NYSE Front Line Specialist Clerk

1/99 – Present

22

Direct Participation Programs Representative Examination

8/80 – Present

23

General Securities Principal Qualification Examination Sales Supervisor Module

7/03 – Present

24

General Securities Principal Examination

1/79 – Present

25

NYSE Trading Assistant Examination

2/98 – Present

26

Investment Company Products/Variable Contracts Principal Examination

6/79 – Present

27

Financial and Operations Principal Examination

1/79 – Present

28

Introducing Broker/Dealer Financial and Operations Principal Examination

1/90 – Present

30

NFA Branch Managers Examination (formerly, Branch Managers Examination – Futures

3/93 – Present

31

Futures Managed Funds Examination

3/93 – Present

32

Limited Futures Exam – Regulations

12/94 – Present

33

Financial Instruments Examination

10/97 – 12/05

37

Canadian Module of Series 7 – with options

4/96 – Present

38

Canadian Module of Series 7 – no options

4/96 – Present

39

Direct Participation Programs Principal Examination

6/79 – Present

40

Registered Principal Examination

9/65 – 5/79

41

NYSE Allied Member Examination

1/66 – 12/85

42

Registered Options Representative Examination

6/95 – Present

51

Municipal Fund Securities Limited Principal Examination

1/03 – Present

52

Municipal Securities Representative Examination

11/78 – Present

53

Municipal Securities Principal Examination

2/80 – Present

54

Municipal Securities Financial and Operations Principal Examination

To 12/89

55

Limited Representative – Equity Trader

4/98 – Present

56

Proprietary Trader Examination

6/11 – Present

62

Corporate Securities Representative Examination

6/88 – Present

63

Uniform Securities Agent State Law Examination

4/79 – Present

65

Uniform Investment Adviser Law Examination

1/89 – Present

66

Uniform Combined State Law Examination

7/95 – Present

72

Government Securities Representative Examination

4/98 – Present

79

Limited Representative – Investment Banking

11/09 – Present

82

Limited Representative – Private Securities Offerings

5/01 – Present

86

Research Analyst Exam – Analysis Module

3/04 – Present

87

Research Analyst Exam – Regulations Module

3/04 – Present

99

Operations Professional Examination

10/11 – Present