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Co-requisites for Qualification Exams


Co-requisite(s)
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