Form U10 - Uniform Examination Request For Non-Finra Candidates Page 2
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2Series 11 Assistant Representative-Order Processing
$ 70
Series 22 Direct Participation Programs Representative
$ 85
Series 23 General Securities Principal Qualification Exam Sales Supervisor Module $ 85
Series 24 General Securities Principal
$105
Series 26 Investment Company and Variable Contracts Products Principal
$ 85
Series 27 Financial and Operations Principal
$105
Series 28 Introducing Broker/Dealer Financial and Operations Principal
$ 85
Series 39 Direct Participation Programs Principal
$ 80
Series 42 Registered Options Representative
$ 65
Series 55 Limited Representative Equity Trader
$ 95
Series 62 Corporate Securities Representative
$ 80
Series 72 Government Securities Representative
$ 95
Series 86 Research Analyst Part I – Analysis Module
$160
Series 87 Research Analyst Part II – Regulatory Module
$115
B. The following examination requests will be approved only for individuals associated with
municipal securities dealers registered with the bank regulatory agency identified under Item 3.
Series 51 Municipal Fund Securities Principal
$ 85
Series 52 Municipal Securities Representative
$ 95
Series 53 Municipal Securities Principal
$ 95
C. The following examinations do not require authorization from a State Administrator or self-
regulatory organization.
Series 3 National Commodities Futures
$105
Series 30 Branch Managers Examination-Futures
$ 70
Series 31 Futures Managed Funds Examination
$ 70
Series 32 Limited Futures Examination-Regulation
$ 70
Series 34 Retail Off-Exchange Forex Examination
$ 70
Series 63 Uniform Securities Agent State Law Examination
$ 96
Series 65 Uniform Investment Advisor Law Examination
$135
Series 66 Uniform Combined State Law Examination
$128
D.
The following Continuing Education computer based training programs will be approved and
administered by FINRA only when the required authorization is received directly from the
respective State Administrator or self-regulatory organization identified under Item 3.
Continuing Education Regulatory Element General Program (S101)
$ 75
Continuing Education Regulatory Element Series 6 Program (S106)
$ 75
Continuing Education Regulatory Element Supervisor Program (S201)
$ 75
E. The following examination requests will be approved only for individuals associated with the
appropriate SRO identified under item 3.
Series 91
$ 125
Series 92
$ 125
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