Applicants should call the appropriate local District Office, requesting the Membership Examiner of the Day, or FINRA Member Services listed below if additional assistance with filing applications is desired.
| Registration Category | Primary Examination | Substitutable Examination(s) | Prerequisite Examination(s) |
| Options Principal | 4 | none | 7 or 62 |
| Interest Rate Options | 5 | 7 or 62 | none |
| Investment Company/Variable Contracts Representative | 6 | 7 | none |
| General Securities Representative | 7 | Combination of 6, 22, 42, 52, 62, and 72 | |
| General Securities Sales Supervisor | 8 | Combination of 4, 24, and 53 combination | 7 |
| General Securities Sales Supervisor—Options Module Examination | 9 | S4 | S7 |
| General Securities Sales Supervisor—General Module Examination | 10 | none | S7 |
| Assistant Representative Order Processing | 11 | none | none |
| Foreign Currency Options | 15 | 7 or 62 | none |
| Limited Registered Representative registration | 17 | 7 or substitutable combination | FSA |
| Direct Participation Programs Representative | 22 | 7 | none |
| General Securities Principal | 24 | none | 7, 62, 17, 37, 38, or 82 |
| Investment Company/Variable Contracts Principal | 26 | 24 | 6 or 7 |
| Financial and Operations Principal | 27 | none | none |
| Introducing Broker/Dealer Financial and Operations Principal | 28 | 27 | none |
| Canada Module of S7 (Options Required) registration | 37 | 7 or substitutable combination | CAN |
| Canada Module of S7 (Options Not Required) registration | 38 | 7 or substitutable combination | CAN |
| Direct Participation Programs Principal | 39 | 24 | 7 or 22 |
| Registered Options Representative | 42 | 7 | 62 or 72 |
| Municipal Securities Representative | 52 | 7 | none |
| Municipal Securities Principal | 53 | none | 7 or 52 |
| Equity Trader | 55 | none | 7, 62, 17, 37, or 38 |
| Corporate Securities Representative | 62 | 7 | none |
| Government Securities Representative | 72 | 7 | none |
| Government Securities Principal | none | none | 72 |
| Private Placement Representative | 82 | 7 or 62 | none |
| Municipal Fund Securities Representative | 51 | none | 24 or 26 |
