Implementation and Amendment Dates of Qualification Exams

Active Exams

Title Effective Dates
Securities Industry Essentials (SIE) Exam 10/2018 – present
Series 3 - National Commodities Futures Exam 1966 - present
Series 4 - Registered Options Principal Exam 04/1975 - present
Series 6 - Investment Company and Variable Contracts Products Representative Exam 08/1980 - present
Series 7 - General Securities Representative Exam 09/1974 - present
Series 9 and 10 - General Securities Sales Supervisor Exam 09/1981 - present
Series 14 - Compliance Officer Exam 09/1989 - present
Series 16 - Supervisory Analysts Exam 01/1965 - present
Series 19 - NYSE Floor Clerk/Member Exam 04/2016 - present
Series 21 - NYSE Front Line Specialist Clerk Exam 01/1999 - present
Series 22 - Direct Participation Programs Representative Exam 08/1980 - present
Series 23 - General Securities Principal Exam - Sales Supervisor 07/2003 - present
Series 24 - General Securities Principal Exam 01/1979 - present
Series 26 - Investment Company and Variable Contracts Products Principal Exam 06/1979 - present
Series 27 - Financial and Operations Principal Exam 01/1979 - present
Series 28 - Introducing Broker-Dealer Financial and Operations Principal Exam 01/1990 - present
Series 30 - NFA Branch Manager Exam (formerly, Branch Managers Exam – Futures) 03/1993 - present
Series 31 - Futures Managed Funds Exam 03/1993 - present
Series 32 - Limited Futures Exam - Regulations 12/1994 - present
Series 34 - Retail Off-Exchange Forex Exam 09/2008 - present
Series 39 - Direct Participation Programs Principal Exam 06/1979 - present
Series 50 - Municipal Advisor Representative Exam 09/2016 - present
Series 51 - Municipal Fund Securities Limited Principal Exam 01/2003 - present
Series 52 - Municipal Securities Representative Exam 11/1978 - present
Series 53 - Municipal Securities Principal Exam 02/1980 - present
Series 57 - Securities Trader Representative Exam 01/2016 - present
Series 63 - Uniform Securities Agent State Law Exam 04/1979 - present
Series 65 - Uniform Investment Adviser Law Exam 01/1989 - present
Series 66 - Uniform Combined State Law Exam 07/1995 - present
Series 79 - Investment Banking Representative Exam 11/2009 - present
Series 82 - Private Securities Offerings Representative Exam 05/2001 - present
Series 86 and 87 - Research Analyst Exam 03/2004 - present
Series 99 - Operations Professional Exam 10/2011 - present