Registration Code Classifications

Code Description Test Series
AG Agent (automatically assigned by system for state registration) 63
AI Agent of Issuer No Exam
AM NYSE Allied Member 41
AP NYSE Approved Person No Exam
AR Assistant Representative-Order Processing 11
BM NYSE Branch Office Manager 8; 9/10; or 12
CD Canadian Module of Series 7—with options 37
CF Compliance Official Specialist 14A
CN Canadian Module of Series 7—no options 38
CO NYSE Compliance Official 14
CP Compliance Registered Options Principal 4
CR Registered Commodity Representative 3
CS Corporate Securities Representative 62
CT Proprietary Trader Compliance Officer 14
DP Direct Participation Programs Principal 39
DR Direct Participation Programs Representative 22
ET Equity Trader Limited Representative 55
FC Foreign Currency Options Representative 15
FI Introducing Broker-Dealer Financial and Operations Principal 28
FM Municipal Securities Financial and Operations Principal 54
FN Financial and Operations Principal 27
FP Municipal Fund Securities Principal 51
GMA "Grandfathered" as Agent by the State No Exam
GP General Securities Principal 24 or 23
GS General Securities Representative 7
GS, STID, IR or DR FINRA Registered Representative Examination 1
GS, STID, IR or DR Last 25 Questions of Series 1 used in conjunction with National Association of Investors Corporation Examination V06
GS Securities Industry Regulations Examination 18
IB Limited Representative - Investment Banking 79
IE Limited Registered Representative Examination 17
IF Proctors of In-Firm Delivery of Regulatory Element No Exam
IP Investment Company Products/Variable Contracts Principal 26
IR Investment Company Products/Variable Contracts Representative 6
IO Interest Rate Options Representative 5
LE NYSE Securities Lending Representative No Exam
LS NYSE Securities Lending Supervisor No Exam
ME Exchange Member No Exam
MJ Manager, Office of Supervisory Jurisdiction 8 or 9/10
MP Municipal Securities Principal 53
MR Municipal Securities Representative 52
OF Officer No Exam
OP Registered Options Principal 4
OR Registered Options Representative 42
OS Operations Professional 99
PG Government Securities Principal No Exam
PR Private Placement Offerings Limited Representative 82
PT Proprietary Trader 56
RA Investment Advisor 65 or 66
RG Government Securities Limited Representative 72
RP Research Principal

24 and 87or

24 and 16

RS Research Analyst 86 and 87
SA NYSE Supervisory Analyst 16
SM NYSE Branch Office Manager 12 or 24
SP Sole Proprietor Appropriate Principal Exam
SR Senior Registered Options Principal 4
SU General Securities Sales Supervisor 8 or 9/10
TP Proprietary Trader Principal 24
TR NYSE Securities Trader 7
TS NYSE Trading Supervisor 7
-- NYSE Financial Principal Examination  
  FINRA Principal Examination (P-1 - P-40) S00 or C4
-- NYSE Representative Examination S000
  FINRA Principal Examination S40