FINRA Administered Qualification Examinations
Study outlines for some exams may be accessed by clicking on the Series number(s) listed below. Please click on the Series 63, 65, and 66 links to access study outlines available on the NASAA website, the Series 56 link to access the study outline available on the CBOE website and the Series 3 link to access the study outline available on the NFA website.
Series | Examination | Questions | Time | Prerequisite | Cost |
|---|---|---|---|---|---|
National Commodity Futures (CR) | 120 | 150 | None | $115 | |
Registered Options Principal (OP) | 125 | 180 | S7, or S62 with S42, S17, S37 or S38 | $100 | |
Investment Company Products/Variable Contracts Representative (IR) | 100 | 135 | None | $95 | |
General Securities Representative (GS) | 250 | 360 | None | $290 | |
General Securities Sales Supervisor (Options Module (FINRA-SU) | 55 | 90 | S7 | $75 | |
General Securities Sales Supervisor General Module (FINRA-SU) | 145 | 240 | S7 | $120 | |
Assistant Representative-Order Processing (AR) | 50 | 60 | None | $75 | |
Compliance Officer (NYSE-CO) | 110 | 180 | None | $335 | |
Supervisory Analyst (NYSE-SA) [one or two parts depending on NYSE requirements] | Each Part 50 | 90 Part 1 | None | $230 | |
120 Part 2 | |||||
Limited Registered Representative (IE) | 100 | 150 | FCA Registration | $75 | |
Direct Participation Programs Representative (DR) | 100 | 150 | None | $95 | |
General Securities Principal Sales Supervisor Module (GP) | 100 | 150 | S8, S9/10, or S12 | $95 | |
General Securities Principal (GP) | 150 | 225 | S7, S17, S37, S38, S62, S79 or S82 | $115 | |
Investment Company Products/Variable Contracts (IP) | 110 | 150 | S6 or S7 | $95 | |
Financial and Operations Principal (FN) | 145 | 210 | None | $115 | |
Introducing Broker/Dealer Financial and Operations Principal (FI) | 95 | 120 | None | $95 | |
30 | NFA Branch Managers Examination | 50 | 60 | None | $75 |
31 | Futures Managed Funds Examination | 45 | 60 | None | $75 |
32 | Limited Futures Exam-Regulations | 35 | 45 | None | $75 |
34 | Retail Off-Exchange Forex Examination | 40 | 60 | None | $75 |
Canada Module of S7 (CD) [Options Required] | 90 | 150 | CAN Registration | $175 | |
Canada Module of S7 (CN) [No Options Required] | 45 | 75 | CAN Registration | $175 | |
Direct Participation Programs Principal (DP) | 100 | 135 | S22 or S7 | $90 | |
Registered Options Representative (OR) | 50 | 90 | S72 or S62 | $70 | |
Municipal Fund Securities Limited Principal (FP) | 60 | 90 | S24 or S26 | $155 | |
Municipal Securities Representative (MR) | 115 | 210 | None | $180 | |
Municipal Securities Principal (MP) | 100 | 180 | S52 or S7 (if passed prior to 11/7/11) | $165 | |
Limited Representative-Equity Trader Examination (ET) | 100 | 180 | S7, S17, S37, S38, or S62 | $105 | |
Proprietary Trader Examination (PT) | 100 | 150 | None | $195 | |
Corporate Securities Limited Representative (CS) | 115 | 150 | None | $90 | |
Uniform Securities Agent State Law Exam (AG) | 60 | 75 | None | $115 | |
NASAA-Investment Advisors Law Exam (RA) | 130 | 180 | None | $155 | |
NASAA-Uniform Combined State Law Exam (AG and/or RA) | 100 | 150 | S7 | $145 | |
Government Securities Representative (RG) | 100 | 180 | None | $105 | |
Limited Representative - Investment Banking | 175 | 300 | None | $290 | |
Limited Representative-Private Securities Offerings (PR) | 100 | 150 | None | $90 | |
Research Analyst (RS) Part I | 100 | 240 | S7 , S17, S37, or S38 | $175 | |
Research Analyst (RS) | 50 | 90 | S7 , S17, S37, or S38 | $125 | |
91 | FDIC Risk Management Technical Evaluation | 100 | 240 |
| $140 |
92 | FDIC Compliance Technical Evaluation | 100 | 240 | $140 | |
93 | FDIC Division of Resolutions & Receivership Technical Evaluation | 100 | 240 | $125 | |
Operations Professional (OS) | 100 | 150 | None | $125 |