Registration Code Classifications

Code

Description

Test Series

AG

Agent (automatically assigned by system for state registration)

63

AI

Agent of Issuer

No Exam

AM

NYSE Allied Member

41

AP

NYSE Approved Person

No Exam

AR

Assistant Representative-Order Processing

11

BM

NYSE Branch Office Manager

8; 9/10; or 12

CD

Canadian Module of Series 7—with options

37

CF

Compliance Official Specialist

14A

CN

Canadian Module of Series 7—no options

38

CO

NYSE Compliance Official

14

CP

Compliance Registered Options Principal

4

CR

Registered Commodity Representative

3

CS

Corporate Securities Representative

62

CT

Proprietary Trader Compliance Officer

14

DP

Direct Participation Programs Principal

39

DR

Direct Participation Programs Representative

22

ET

Equity Trader Limited Representative

55

FC

Foreign Currency Options Representative

15

FI

Introducing Broker-Dealer Financial and Operations Principal

28

FM

Municipal Securities Financial and Operations Principal

54

FN

Financial and Operations Principal

27

FP

Municipal Fund Securities Principal

51

GMA

"Grandfathered" as Agent by the State

No Exam

GP

General Securities Principal

24 or 23

GS

General Securities Representative

7

GS, STID, IR or DR

FINRA Registered Representative Examination

1

GS, STID, IR or DR

Last 25 Questions of Series 1 used in conjunction with National Association of Investors Corporation Examination

V06

GS

Securities Industry Regulations Examination

18

IB

Limited Representative - Investment Banking

79

IE

Limited Registered Representative Examination

17

IF

Proctors of In-Firm Delivery of Regulatory Element

No Exam

IP

Investment Company Products/Variable Contracts Principal

26

IR

Investment Company Products/Variable Contracts Representative

6

IO

Interest Rate Options Representative

5

LE

NYSE Securities Lending Representative

No Exam

LS

NYSE Securities Lending Supervisor

No Exam

ME

Exchange Member

No Exam

MJ

Manager, Office of Supervisory Jurisdiction

8 or 9/10

MP

Municipal Securities Principal

53

MR

Municipal Securities Representative

52

OF

Officer

No Exam

OP

Registered Options Principal

4

OR

Registered Options Representative

42

OS

Operations Professional

99

PG

Government Securities Principal

No Exam

PR

Private Placement Offerings Limited Representative

82

PT

Proprietary Trader

56

RA

Investment Advisor

65 or 66

RG

Government Securities Limited Representative

72

RP

Research Principal

24 and 87 or 24 and 16

RS

Research Analyst

86 and 87

SA

NYSE Supervisory Analyst

16

SM

NYSE Branch Office Manager

12 or 24

SP

Sole Proprietor

Appropriate Principal Exam

SR

Senior Registered Options Principal

4

SU

General Securities Sales Supervisor

8 or 9/10

TP

Proprietary Trader Principal

24

TR

NYSE Securities Trader

7

TS

NYSE Trading Supervisor

7

--

NYSE Financial Principal Examination

 

 

FINRA Principal Examination (P-1 - P-40)

S00 or C4

--

NYSE Representative Examination

S000

 

FINRA Principal Examination

S40

 

Last Updated: 11/9/2011