Uniform Application For Securities Industry Registration Or Transfer Page 2
ADVERTISEMENT
1
2
3
4
5
6
7
8Check appropriate SRO Registration requests.
Qualifying examinations will be automatically scheduled if needed. If you are only scheduling or rescheduling an exam, skip this section and
complete Section 7 (EXAMINATION REQUESTS).
REGISTRATION CATEGORY
OP Registered Options Principal (S4)
IR Investment Company and Variable Contracts Products Rep. (S6)
GS Full Registration/General Securities Representative (S7)
TR Securities Trader (S7)
TS Trading Supervisor (S7)
SU General Securities Sales Supervisor (S9 and S10)
BM Branch Office Manager (S9 and S10)
SM Securities Manager (S10)
AR Assistant Representative/Order Processing (S11)
IE United Kingdom Limited General Securities Registered
Representative (S17)
REGISTRATION CATEGORY
DR Direct Participation Program Representative (S22)
GP General Securities Principal (S24)
IP Investment Company and Variable Contracts Products Principal (S26)
FA Foreign Associate
FN Financial and Operations Principal (S27)
FI Introducing BrokerDealer/Financial and Operations Principal (S28)
RS Research Analyst (S86, S87)
RP Research Principal
DP Direct Participation Program Principal (S39)
OR Options Representative (S42)
REGISTRATION CATEGORY
MR Municipal Securities Representative (S52)
MP Municipal Securities Principal (S53)
CS Corporate Securities Representative (S62)
RG Government Securities Representative (S72)
PG Government Securities Principal
SA Supervisory Analyst (S16)
PR Limited Representative Private Securities Offerings (S82)
CD CanadaLimited General Securities Registered Representative (S37)
CN CanadaLimited General Securities Registered Representative (S38)
ET Equity Trader (S55)
REGISTRATION CATEGORY
AM Allied Member
AP Approved Person
LE Securities Lending Representative
LS Securities Lending Supervisor
ME Member Exchange
FE Floor Employee
ADVERTISEMENT
0 votes
Related Articles
Related forms
Related Categories
Parent category: Financial