Series No.

Title/Description

Effective Date

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-Present

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-Present

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

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

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

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