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FINRA Principal level Exam (on demand) ~ Exams
Code Exam
Exam Code
Series-10
Exam Name
General Securities Sales Supervisor
Exam Code
Series-14
Exam Name
Compliance Officer
Exam Code
Series-16
Exam Name
Supervisory Analysts
Exam Code
Series-23
Exam Name
General Securities Principal
Exam Code
Series-24
Exam Name
General Securities Principal
Exam Code
Series-26
Exam Name
Investment Company Products/Variable Contracts Limited Principal
Exam Code
Series-27
Exam Name
Financial and Operations Principal
Exam Code
Series-28
Exam Name
Introducing Broker/Dealer Financial and Operations Principal
Exam Code
Series-39
Exam Name
Direct Participation Programs Limited Principal
Exam Code
Series-4
Exam Name
Registered Options Principal
Exam Code
Series-9
Exam Name
General Securities Sales Supervisor

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