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Qualification Examinations
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Certificates; FYI, September 1998
Decimalization of; FYI, March 2001
Fees; 08-61; 05-79; 04-73
Series 7 (General Securities Representative Exam); IN 10/22/08; 99-75; 98-16
Series 9 (General Securities Sales Supervisor (Options Module)); 08-02
Series 10 (General Securities); 08-02; FYI, December 2002
Series 11 (Assistant Representative Order Processing); 05-19; FYI, December 2002
Series 16, Experience Acceptability Requests; 08-67
Series 22 (Limited Representative – Direct Participation Programs); 06-35; 02-27
Series 23 (General Securities Principal Sales Supervisor Module); 07-62; 03-37
Series 24 (General Securities Principal); 08-02; 07-62; FYI, December 2002; 01-32
Series 26 (Investment Company Products/Variable Contracts Limited Principal); 01-32
Series 27 (Limited Principal – Financial and Operations); 06-35; 02-27
Series 28 (Limited Principal – Introducing Broker-Dealer Financial and Operations; 06-35; 02-27
Series 39 (Limited Principal – Direct Participation Programs); 06-35; 02-27
Series 42 (Registered Options Representatives Exam); 07-62; 98-16
Series 51 (Municipal Fund Securities Limited Principal Qualification Examination); FYI, March 2003; FYI, December 2002
Series 55 (Assistant Representative Equity Trader); 07-62; 06-35; 05-19; FYI, December 2002; 02-27; 00-46; 00-27; FYI, February 2000; FYI, August 1998; 98-60; 98-17; FYI, May 1997
Series 62 (Corporate Securities Limited Representative); 07-62; FYI, December 2002; 01-32
Series 63 (Uniform Securities Agent State Law Examination); FYI, August 2000
Series 65 (Uniform Investment Adviser Law Exam); FYI, August 2000; FYI, January 2000
Series 66 (Uniform Combined State Law Exam); FYI, August 2000; FYI, January 2000
Series 72 (Government Securities Representatives Exam); 07-62; 98-16; FYI, May 1997
Series 82 (Limited Representative-Private Securities Offerings); 07-62; 02-27; 01-39
Series 86/87 (Research Analyst Qualification Examination); 05-24; 05-14; 05-13; 04-81
Waiver Requests; 08-67; 04-59
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