Implementation and Amendment Dates of Qualification Examinations

Title Effective Date
Series 1 - Registered Representative Examination 1956 to 7/1980
Series 2 - Non-Member General Securities Examination To 9/1996
Series 3 - National Commodities Futures Examination 1966 to present
Series 4 - Registered Options Principal Exam (OP) 4/1975 to present
Series 5 - Interest Rate Options Examination 12/1981 to 3/2010
Series 6 - Investment Company and Variable Contracts Products Representative Exam (IR) 8/1980 to present
Series 7 Exam - General Securities Representative Exam (GS) 9/1974 to present
Series 9 and 10 - General Securities Sales Supervisor Examination 9/1981 to present
Series 11 - Assistant Representative - Order Processing Exam (AR) 01/1990 to present
Series 12 - NYSE Branch Manager Examination 1/1964 to 4/1984
4/1991 to 12/2007
Series 14 - Compliance Official Exam (CO) 9/1989 to present
Series 15 - Foreign Currency Options Examination 9/1982 to 11/2008
Series 16 - Supervisory Analysts Exam (SA) 1/1965 to present
Series 17 - United Kingdom Securities Representative Exam (IE) 5/1991 to present
Series 18 - Securities Industry Rules and Regulations Examination To 6/1988
Series 19 - NYSE Floor Clerk/Member Examination 4/2016 to present
Series 21 - NYSE Front Line Specialist Clerk Examination 1/1999 to present
Series 22 - Direct Participation Programs Representative Exam (DR) 8/1980 to present
Series 23 - General Securities Principal Exam - Sales Supervisor (GP) 7/2003 to present
Series 24 - General Securities Principal Exam (GP) 1/1979 to present
Series 25 - NYSE Trading Assistant Examination 2/1998 to 4/2016
Series 26 - Investment Company and Variable Contracts Products Principal Exam (IP) 6/1979 to present
Series 27 - Financial and Operations Principal Exam (FN) 1/1979 to present
Series 28 - Introducing Broker-Dealer Financial and Operations Principal Exam (FI) 1/1990 to present
Series 30 - NFA Branch Manager Examination (formerly, Branch Managers Examination – Futures) 3/1993 to present
Series 31 - Futures Managed Funds Examination 3/1993 to present
Series 32 - Limited Futures Examination - Regulations 12/1994 to present
Series 33 - Financial Instruments Examination 10/1997 to 12/2005
Series 34 - Retail Off-Exchange Forex Examination 09/2008 to present
Series 37 - Canada Securities Representative Exam - With Options (CD) 4/1996 to present
Series 38 - Canada Securities Representative Exam - No Options (CN) 4/1996 to present
Series 39 - Direct Participation Programs Principal Exam (DP) 6/1979 to present
Series 40 - Registered Principal Examination 9/1965 to 5/1979
Series 41 - NYSE Allied Member Examination 1/1966 to 12/1985
Series 42 - Registered Options Representative Exam (OR) 6/1995 to present
Series 50 - Municipal Advisor Representative Examination 09/2016 to present
Series 51 - Municipal Fund Securities Limited Principal Examination 1/2003 to present
Series 52 - Municipal Securities Representative Examination (MR) 11/1978 to present
Series 53 - Municipal Securities Principal Examination (MP) 2/1980 to present
Series 54 - Municipal Securities Financial and Operations Principal Examination To 12/1989
Series 55 - Equity Trader Examination (ET) To 1/4/2016
Series 56 - Proprietary Trader Examination (PT) To 1/4/2016
Series 57 - Securities Trader Representative Exam (TD) 01/04/2016 to present
Series 62 - Corporate Securities Representative Exam (CS) 6/1988 to present
Series 63 - Uniform Securities Agent State Law Examination 04/1979 to present
Series 65 - Uniform Investment Adviser Law Examination 1/1989 to present
Series 66 - Uniform Combined State Law Examination 07/1995 to present
Series 72 - Government Securities Representative Exam (RG) 4/1998 to present
Series 79 - Investment Banking Representative Exam (IB) 11/2009 to present
Series 82 - Private Securities Offerings Representative Exam (PR) 5/2001 to present
Series 86 and 87 - Research Analyst Examination (RS) 3/2004 to present
Series 99 - Operations Professional Exam (OS) 10/2011 to present