Prerequisites for Qualification Examinations

Title Prerequisite
Series 3 - National Commodities Futures Examination None
Series 4 - Registered Options Principal Exam (OP) S7, S17, S37, S38, or S62 (with the S42)
Series 6 - Investment Company and Variable Contracts Products Representative Exam (IR) None
Series 7 Exam - General Securities Representative Exam (GS) None
Series 9 and 10 - General Securities Sales Supervisor Examination S7
Series 11 - Assistant Representative - Order Processing Exam (AR) None
Series 14 - Compliance Official Exam (CO) None
Series 16 - Supervisory Analysts Exam (SA) None
Series 17 - United Kingdom Securities Representative Exam (IE) FCA Registration
Series 22 - Direct Participation Programs Representative Exam (DR) None
Series 23 - General Securities Principal Exam - Sales Supervisor (GP) S8, S9/10, or S12
Series 24 - General Securities Principal Exam (GP) S7, S17, S37, S38, S57, S62, S79 or S82
Series 26 - Investment Company and Variable Contracts Products Principal Exam (IP) S6 or S7
Series 27 - Financial and Operations Principal Exam (FN) None
Series 28 - Introducing Broker-Dealer Financial and Operations Principal Exam (FI) None
Series 30 - NFA Branch Manager Examination (formerly, Branch Managers Examination – Futures) None
Series 31 - Futures Managed Funds Examination None
Series 32 - Limited Futures Examination - Regulations None
Series 34 - Retail Off-Exchange Forex Examination None
Series 37 - Canada Securities Representative Exam - With Options (CD) IIROC registration
Series 38 - Canada Securities Representative Exam - No Options (CN) IIROC registration
Series 39 - Direct Participation Programs Principal Exam (DP) S7 or S22
Series 42 - Registered Options Representative Exam (OR) S62 or S72
Series 50 - Municipal Advisor Representative Examination None
Series 51 - Municipal Fund Securities Limited Principal Examination S24 or S26
Series 52 - Municipal Securities Representative Examination (MR) None
Series 53 - Municipal Securities Principal Examination (MP) S52
Series 57 - Securities Trader Representative Exam (TD) None
Series 62 - Corporate Securities Representative Exam (CS) None
Series 63 - Uniform Securities Agent State Law Examination None
Series 65 - Uniform Investment Adviser Law Examination None
Series 66 - Uniform Combined State Law Examination None. Series 7 is a co-requisite.
Series 72 - Government Securities Representative Exam (RG) None
Series 79 - Investment Banking Representative Exam (IB) None
Series 82 - Private Securities Offerings Representative Exam (PR) None
Series 86 and 87 - Research Analyst Examination (RS) S7, S17, S37, S38
Series 99 - Operations Professional Exam (OS) None