Corequisites for Qualification Examinations

Title Corequisites
Securities Industry Essentials (SIE) Exam None
Series 3 - National Commodities Futures Exam None
Series 4 - Registered Options Principal Exam SIE + S7TO
Series 6 - Investment Company and Variable Contracts Products Representative Exam SIE
Series 7 - General Securities Representative Exam SIE
Series 9 and 10 - General Securities Sales Supervisor Exam SIE + S7TO
Series 11 - Assistant Representative - Order Processing Exam None
Series 14 - Compliance Officer Exam None
Series 16 - Supervisory Analysts Exam None
Series 17 - United Kingdom Securities Representative Exam FCA Registration
Series 22 - Direct Participation Programs Representative Exam SIE
Series 23 - General Securities Principal Exam - Sales Supervisor S8, S9/10, or S12
Series 24 - General Securities Principal Exam SIE+ S7TO, S57TO, S79TO, S82TO or S86/87; S16
Series 26 - Investment Company and Variable Contracts Products Principal Exam SIE + S6TO or SIE + S7TO
Series 27 - Financial and Operations Principal Exam None
Series 28 - Introducing Broker-Dealer Financial and Operations Principal Exam None
Series 30 - NFA Branch Manager Exam (formerly, Branch Managers Exam – Futures) None
Series 31 - Futures Managed Funds Exam None
Series 32 - Limited Futures Exam - Regulations None
Series 34 - Retail Off-Exchange Forex Exam None
Series 37 - Canada Securities Representative Exam - With Options IIROC registration
Series 38 - Canada Securities Representative Exam - No Options IIROC registration
Series 39 - Direct Participation Programs Principal Exam SIE + S7TO or SIE + S22TO
Series 50 - Municipal Advisor Representative Exam None
Series 51 - Municipal Fund Securities Limited Principal Exam S24 or S26
Series 52 - Municipal Securities Representative Exam SIE
Series 53 - Municipal Securities Principal Exam SIE + S52TO
Series 57 - Securities Trader Representative Exam SIE
Series 62 - Corporate Securities Representative Exam None
Series 63 - Uniform Securities Agent State Law Exam None
Series 65 - Uniform Investment Adviser Law Exam None
Series 66 - Uniform Combined State Law Exam SIE + S7TO
Series 72 - Government Securities Representative Exam None
Series 79 - Investment Banking Representative Exam SIE
Series 82 - Private Securities Offerings Representative Exam SIE
Series 86 and 87 - Research Analyst Exam SIE
Series 99 - Operations Professional Exam SIE