Series Examinations/Registrations
The National Association of Securities Dealers (NASD) administers a series of licensing examinations that are used to qualify people for employment in many parts of the finance industry. For example, the Series 7 is commonly (although somewhat incorrectly) known as the stockbroker exam.
Complete List of Series Investing Exams
Here is a list of the most important series exams for your financial and investing career:
- Series 3 – Commodity Futures Examination
- Series 4 – Registered Options Principal
- Series 5 – Interest Rate Options Examination
- Series 6 – Investment Company and Variable Contracts Products Rep.
- Translation: qualifies sales representatives to sell mutual funds and variable annuities.
- Series 7 – Full Registration/General Securities Representative
- Translation: qualifies sales representatives to sell stocks and bonds. Variations include:
- Securities Traders (NYSE)
- Trading Supervisor (NYSE)
- Series 8 – General Securities Sales Supervisor
- Branch Office Manager (NYSE)
- Series 11 – Assistant Representative/Order Processing
- Series 15 – Foreign Currency Options
- Series 16 – Supervisory Analyst
- Series 22 – Direct Participation Program Representative
- Series 24 – General Securities Principal
- Series 26 – Investment Company and Variable Contracts Principal
- Series 27 – Financial and Operations Principal
- Series 28 – Introducing B/D/Financial and Operations Principal
- Series 39 – Direct Participation Program Principal
- Series 42 – Options Representative
- Series 52 – Municipal Securities Representative
- Series 53 – Municipal Securities Principal
- Series 62 – Corporate Securities Representative
- Series 63 – Uniform Securities Agent State Law Examination
- Series 65 – Uniform Investment Advisor Law Examination
The following NASD resources should help.
- The procedures for becoming a member of NASD, including details about registering personnel through the Central Registration Depository (CRD).
http://www.nasdr.com/4700.htm - The NASD’s CRD call center: +1 (301) 590-6500
- The NASD home page.
http://www.nasd.com/