Prerequisites for Qualification Examinations

Exam Restructuring 
Beginning Oct. 1, 2018, FINRA is implementing a new Securities Industry Essentials (SIE) exam and revised rep-level qualification exams.
Test Delivery Vendor
Effective January 1, 2018, Prometric will be the exclusive vendor delivering FINRA and its client exams. December 31, 2017 will be the last day candidates can take their exam at a Pearson VUE testing center.  
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