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The corequisite foundation exam covering products, regulation, and market structure.

The 125-question top-off exam for representatives selling a broad range of securities.

Sell mutual funds, variable annuities, and unit investment trusts.

Required in most states for anyone selling securities to the public.

Register as an Investment Adviser Representative in the majority of states.

Efficient combined path for Series 7 holders pursuing IAR registration.

Supervise sales, trading, and underwriting activities at a broker-dealer.

Advise on M&A, tender offers, and debt/equity offerings.

Supervise options sales activities and personnel at a broker-dealer. Paired with Series 10 to complete the GSSS qualification.

Supervise general sales activities, hiring, training, and customer accounts. Companion exam to Series 9.

Trade and sell municipal securities including GO bonds, revenue bonds, and 529 plans under MSRB rules.

Supervise municipal securities activities, underwriting, and MSRB rule compliance at a broker-dealer.