| Securities Industry Essentials (SIE) Exam |
None |
| Series 3 – National Commodities Futures Exam |
None |
| Series 4 – Registered Options Principal Exam |
SIE + Series 7 |
| 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 Exams |
SIE + Series 7 |
| Series 14 – Compliance Officer Exam |
None |
| Series 16 – Supervisory Analysts Exam |
None |
| Series 22 – Direct Participation Programs Representative Exam |
SIE |
| Series 23 – General Securities Principal Exam – Sales Supervisor Module |
SIE + Series 7 + Series 9 and 10 |
| Series 24 – General Securities Principal Exam |
SIE + S7, S57, S79, S82, S86/87 or S16 |
| Series 26 – Investment Company and Variable Contracts Products Principal Exam |
SIE + S6 or SIE + S7 |
| 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 39 – Direct Participation Programs Principal Exam |
SIE + S7 or SIE + S22 |
| 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 54 – Municipal Advisor Principal Exam |
Series 50 |
| Series 57 – Securities Trader Representative Exam |
SIE |
| 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 79 – Investment Banking Representative Exam |
SIE |
| Series 82 – Private Securities Offerings Representative Exam |
SIE |
| Series 86 and 87 – Research Analyst Exams |
SIE |
| Series 99 – Operations Professional Exam |
SIE |
