Registered Principal Licenses:
Series 4 Exam Registered Options Principal
This examination is for an individual who
will function as a registered options
principal of a securities broker/dealer.
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Series 9 and 10 Exams General Securities Sales
Supervisor
This registration is for those who will
supervise sales activities in corporate,
municipal, and options securities,
investment company products, variable
contracts, and direct participation programs
for an NYSE member firm.
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Products
Series 14 Test NYSE Compliance
Officer
The Series 14 exam is required by the New
York Stock Exchange. The Series 14 is
for those having day-to-day compliance
responsibilities for their respective firms
or who supervise ten or more people engaged
in compliance activities have the knowledge
necessary to carry out their job
responsibilities.
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Series 24 Exam General Securities
Principal
This examination is for those who manage or
supervise the member's investment banking or
securities business for corporate
securities, direct participation programs,
and investment company products/variable
contracts.
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Series 26 Test Investment Company
Products/Variable Contracts Limited
Principal
This exam is for those who act as a
principal for the solicitation, purchase,
and/or sale of redeemable securities of open
and closed-end mutual funds and variable
contracts and insurance premium funding
programs and other contracts issued by an
insurance company.
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Series 27 Exam Financial and Operations
Principal
The Series 27 test's a candidate's knowledge
and understanding of financial
responsibility rules and recordkeeping
requirements. It's for those who
prepare the FOCUS reports for a brokerage
firm.
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Series 30 Exam Branch Manager - Futures
The Series 30 exam is required by the
National Futures Association to be a Branch
Manager of an office dealing in futures.
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Series 51 Test Municipal Fund
Securities Principal
The Series 51 exam is for those selling
municipal fund securities relating to 529
College Savings Plans and Local Government
Investment Pools (LGIPs).
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Series 53 Exam Municipal Securities
Principal
This exam is for those who act as a
municipal securities principal and for those
who supervise municipal securities reps.
This exam also enables the principal to
supervise municipal fund securities, for
example, 529 College Savings Plans and
Local Government Investment Pools (LGIPs).
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here to order Series 53 Study Products
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