SIE
Securities Industry Essentials Exam Entry point for securities licensing with core knowledge on products, regulation, and market structure.
2,710+ question bank
Last Updated: May 23, 2026
Series 3
National Commodities Futures Examination Covers commodity futures, hedging, options, regulation, and customer account handling.
2,770+ question bank
Last Updated: Jun 23, 2026
Series 4
Registered Options Principal Exam Principal-level options supervision, suitability, trading approvals, and regulatory oversight.
2,660+ question bank
Last Updated: Jun 10, 2026
Series 6
Investment Company and Variable Contracts Products Representative Exam Focuses on mutual funds, variable annuities, retirement plans, and customer recommendations.
2,740+ question bank
Last Updated: May 28, 2026
Series 7
General Securities Representative Exam The flagship rep exam spanning products, trading, customer accounts, and regulations.
2,650+ question bank
Last Updated: Jun 28, 2026
Series 9 & 10
General Securities Sales Supervisor Exam Sales supervision, options supervision, compliance systems, and branch oversight.
2,690+ question bank
Last Updated: Jun 15, 2026
Series 14
Compliance Officer Exam Principal-level compliance exam focused on supervision, regulatory obligations, and controls.
2,650+ question bank
Last Updated: Jun 2, 2026
Series 16 Part 1
Supervisory Analyst Regulations Exam Regulatory framework for supervisory analysts, research, and communications.
2,630+ question bank
Last Updated: May 20, 2026
Series 16 Part 2
Supervisory Analyst Valuation of Securities Exam Security valuation and analytical framework for supervisory analyst responsibilities.
2,600+ question bank
Last Updated: Jun 20, 2026
Series 22
Direct Participation Programs Representative Exam Direct participation programs, partnerships, taxation concepts, and suitability.
2,720+ question bank
Last Updated: Jun 7, 2026
Series 23
General Securities Principal Exam Sales Supervisor Legacy sales supervision exam for supervising general securities representatives.
2,760+ question bank
Last Updated: May 25, 2026
Series 24
General Securities Principal Exam Branch supervision, communications, underwriting, market making, and firm compliance.
2,790+ question bank
Last Updated: Jun 25, 2026
Series 26
Investment Company and Variable Contracts Products Principal Exam Supervision of mutual fund and variable product business lines.
2,780+ question bank
Last Updated: Jun 12, 2026
Series 27
Financial and Operations Principal Exam Net capital, books and records, reserve formulas, and operational controls.
2,770+ question bank
Last Updated: May 30, 2026
Series 28
Introducing Broker-Dealer Financial and Operations Principal Exam Operations principal knowledge tailored to introducing broker-dealers.
2,600+ question bank
Last Updated: May 17, 2026
Series 30
NFA Branch Manager Exam Branch management responsibilities for futures professionals under NFA rules.
2,640+ question bank
Last Updated: Jun 17, 2026
Series 31
Futures Managed Funds Exam Managed futures, pooled vehicles, solicitation rules, and disclosure.
2,730+ question bank
Last Updated: Jun 4, 2026
Series 32
Limited Futures Exam Regulations Regulatory conversion exam focused on futures regulatory requirements.
2,750+ question bank
Last Updated: May 22, 2026
Series 34
Retail Off-Exchange Forex Exam Forex regulation, margin, disclosures, and customer handling for retail forex business.
2,750+ question bank
Last Updated: Jun 22, 2026
Series 39
Direct Participation Programs Principal Exam Principal-level DPP supervision, communication standards, and suitability oversight.
2,750+ question bank
Last Updated: Jun 9, 2026
Series 50
Municipal Advisor Representative Exam Municipal advisor activities, products, fiduciary duty, and public finance concepts.
2,700+ question bank
Last Updated: May 27, 2026
Series 51
Municipal Fund Securities Limited Principal Exam Supervision of municipal fund securities activities and communications.
2,720+ question bank
Last Updated: Jun 27, 2026
Series 52
Municipal Securities Representative Exam Municipal products, underwriting, trading, disclosure, and tax treatment.
2,770+ question bank
Last Updated: Jun 14, 2026
Series 53
Municipal Securities Principal Exam Principal-level oversight of municipal underwriting, sales, and trading activity.
2,780+ question bank
Last Updated: Jun 1, 2026
Series 54
Municipal Advisor Principal Exam Supervisory oversight for municipal advisory firms and public finance engagements.
2,710+ question bank
Last Updated: May 19, 2026
Series 57
Securities Trader Representative Exam Equity and debt trading, market structure, order handling, and regulations.
2,700+ question bank
Last Updated: Jun 19, 2026
Series 63
Uniform Securities Agent State Law Exam State securities regulation, unethical business practices, and registration rules.
2,750+ question bank
Last Updated: Jun 6, 2026
Series 65
Uniform Investment Adviser Law Exam Investment vehicles, economics, portfolio management, and adviser regulation.
2,780+ question bank
Last Updated: May 24, 2026
Series 66
Uniform Combined State Law Exam Combines adviser and agent state-law requirements with client and portfolio content.
2,610+ question bank
Last Updated: Jun 24, 2026
Series 79
Investment Banking Representative Exam Debt and equity offerings, M&A, financial restructuring, and underwriting process.
2,690+ question bank
Last Updated: Jun 11, 2026
Series 82
Private Securities Offerings Representative Exam Private placements, exempt offerings, due diligence, and communications.
2,720+ question bank
Last Updated: May 29, 2026
Series 86 & 87
Research Analyst Exam Research report analysis, valuation, and regulatory obligations for analysts.
2,730+ question bank
Last Updated: Jun 29, 2026
Series 99
Operations Professional Exam Operations functions spanning clearance, settlement, margin, and records.
2,620+ question bank
Last Updated: Jun 16, 2026