Series

Examination

Questions 

Time
(minutes)

Prerequisite

Cost

3

National Commodity Futures (CR)

120

150

None

$105

4

Registered Options Principal (OP)

125

180

S7, or S62 with S42, S17, S37 or S38

$90

5

Interest Rate Options (IO)

50

90

S7

$65

6

Investment Company Products/Variable Contracts Representative (IR)

100

135

None

$85

7

General Securities Representative (GS)

250

360

None

$265

9

General Securities Sales Supervisor (Options Module (FINRA-SU)

55

90

S7

$70

10

General Securities Sales Supervisor General Module (FINRA-SU)

145

240

S7

$110

11

Assistant Representative-Order Processing (AR)

50

60

None

$70

14

Compliance Officer (NYSE-CO)

110

180

None

$320

16

Supervisory Analyst (NYSE-SA) [one or two parts depending on NYSE requirements]

Each Part 50

90 Part 1

None

$210

120 Part 2

17

Limited Registered Representative (IE)

100

120

FSA Registration

$70

22

Direct Participation Programs Representative (DR)

100

135

None

$85

23

General Securities Principal Sales Supervisor Module (GP)

100

150

S8, S9/10, or S12

$85

24

General Securities Principal (GP)

150

210

S7, S17, S37, S38, S62, S79 or S82

$105

26

Investment Company Products/Variable Contracts (IP)

110

150

S6 or S7

$85

27

Financial and Operations Principal (FN)

145

210

None

$105

28

Introducing Broker/Dealer Financial and Operations Principal (FI)

95

120

None

$85

30

Branch Managers Examination - Futures

50

60

None

$70

31

Futures Managed Funds Examination

45

60

None

$70

32

Limited Futures Exam-Regulations

35

45

None

$70

34

Retail Off-Exchange Forex Examination

40

60

None

$70

37

Canada Module of S7 (CD)

[Options Required]

90

150

CAN Registration

$160

38

Canada Module of S7 (CN)

[No Options Required]

45

75

CAN Registration

$160

39

Direct Participation Programs Principal (DP)

100

135

S22 or S7

$80

42

Registered Options Representative (OR)

50

90

S62 or S7

$65

51

Municipal Fund Securities Limited Principal (FP)

60

90

S24 or S26

$85

52

Municipal Securities Representative (MR)

100

180

None

$95

53

Municipal Securities Principal (MP)

100

180

S52 or S7

$95

55

Limited Representative-Equity Trader Examination (ET)

100

180

S7, S17, S37, S38, or S62

$95

62

Corporate Securities Limited Representative (CS)

115

150

None

$80

63

Uniform Securities Agent State Law Exam (AG)

60

75

None

$96

65

NASAA-Investment Advisors Law Exam (RA)

130

180

None

$135

66

NASAA-Uniform Combined State Law Exam (AG and/or RA)

100

150

S7

$128

72

Government Securities Representative (RG)

100

180

None

$95

79

Limited Representative - Investment Banking

175

300

None

$265

82

Limited Representative-Private Securities Offerings (PR)

100

150

None

$80

86

Research Analyst (RS) Part I
Analysis Module

100

240

S7 , S17, S37, or S38

$160

87

Research Analyst (RS)
Part II
Regulations Module

50

90

S7 , S17, S37, or S38

$115