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Implementation and Amendment Dates of Qualification Examinations

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 Exams 09/1981 – present
Series 14 – Compliance Officer Exam 09/1989 – present
Series 16 – Supervisory Analysts Exam 01/1965 – present
Series 22 – Direct Participation Programs Representative Exam 08/1980 – present
Series 23 – General Securities Principal Exam – Sales Supervisor Module 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 54 – Municipal Advisor Principal Exam 11/2019 – 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 Exams 03/2004 – present
Series 99 – Operations Professional Exam 10/2011 – present