Series 3: National Commodity Future Series 4: Registered Options Principal Series 6: Investment Companies & Variable Contract Representative Series 7: General Securities Representative Series 9: General Securities Sales Supervisor - Options Series 10: General Securities Sales Supervisor - General Securities Series 11: Assistant Representative - Order Processing Series 14: NYSE Compliance Official Series 16: Supervisory Analyst Series 23: General Securities Principal Sales Supervisor Series 24: General Securities Principal Series 27: Financial & Operations Principal Series 52: Municipal Securities Limited Representative Series 53: Municipal Securities Principal Series 55: Limited Representative – Equity Trader Series 63: Uniform Securities Agent State Law Exam Series 65: Investment Adviser State Law Exam Series 66: Uniform Combined State Law Exam Series 86/87: Research Analyst Qualification Exam