Registration Code Classifications
| Code | Description | Test Series |
|---|---|---|
| AG | Agent (automatically assigned by system for state registration) | 63 |
| AI | Agent of Issuer | No Exam |
| AM | NYSE Allied Member | 41 |
| AP | NYSE Approved Person | No Exam |
| AR | Assistant Representative-Order Processing | 11 |
| BM | NYSE Branch Office Manager | 8; 9/10; or 12 |
| BP | Investment Banking Principal | 24 |
| CD | Canadian Module of Series 7—with options | 37 |
| CF | Compliance Official Specialist | 14A |
| CN | Canadian Module of Series 7—no options | 38 |
| CO | NYSE Compliance Official | 14 |
| CP | Compliance Registered Options Principal | 4 |
| CR | Compliance Officer | 14 |
| CS | Corporate Securities Representative | 62 |
| CT | Proprietary Trader Compliance Officer | 14 |
| DP | Direct Participation Programs Principal | 39 |
| DR | Direct Participation Programs Representative | 22* |
| ET | Equity Trader Limited Representative | 55 |
| FC | Foreign Currency Options Representative | 15 |
| FI | Introducing Broker-Dealer Financial and Operations Principal | 28 |
| FL | Floor Clerk - Equities | 19 |
| FM | Municipal Securities Financial and Operations Principal | 54 |
| FN | Financial and Operations Principal | 27 |
| FP | Municipal Fund Securities Principal | 51 |
| GMA | "Grandfathered" as Agent by the State | No Exam |
| GP | General Securities Principal | 24 or 23 |
| GS | General Securities Representative | 7* |
| GS, STID, IR or DR | FINRA Registered Representative | 1 |
| GS, STID, IR or DR | Last 25 Questions of Series 1 used in conjunction with National Association of Investors Corporation | V06 |
| GS | Securities Industry Regulations | 18 |
| IB | Investment Banking Representative | 79* |
| IE | United Kingdom version of Series 7 | 17 |
| IF | Proctors of In-Firm Delivery of Regulatory Element | No Exam |
| IP | Investment Company Products/Variable Contracts Principal | 26 |
| IR | Investment Company and Variable Contracts Products Representative | 6* |
| IO | Interest Rate Options Representative | 5 |
| LE | NYSE Securities Lending Representative | No Exam |
| LS | NYSE Securities Lending Supervisor | No Exam |
| ME | Exchange Member | No Exam |
| MJ | Manager, Office of Supervisory Jurisdiction | 8 or 9/10 |
| MP | Municipal Securities Principal | 53 |
| MR | Municipal Securities Representative | 52 |
| OF | Officer | No Exam |
| OP | Registered Options Principal | 4 |
| OR | Registered Options Representative | 42 |
| OS | Operations Professional | 99* |
| PG | Government Securities Principal | No Exam |
| PR | Private Securities Offerings Representative | 82* |
| PO | Private Securities Offerings Principal | 24 |
| PT | Proprietary Trader | 56 |
| RA | Investment Adviser Representative | 65 or 66 |
| RG | Government Securities Representative | 72 |
| RP | Research Principal |
24 and 86/87 or 24 and 16 |
| RS | Research Analyst | 86 and 87* |
| SA | NYSE Supervisory Analyst | 16 |
| SM | NYSE Branch Office Manager | 12 or 24 |
| SP | Sole Proprietor | Appropriate Principal Exam |
| SR | Senior Registered Options Principal | 4 |
| SU | General Securities Sales Supervisor | 8 or 9/10 |
| TD | Securities Trader | 57* |
| TP | Securities Trader Principal | 24 |
| TR | NYSE Securities Trader | 7 |
| TS | NYSE Trading Supervisor | 7 |
| -- | NYSE Financial Principal Examination | |
| NASD Principal Examination (P-1 - P-40) | S00 or C4 | |
| -- | NYSE Representative Examination | S000 |
| NASD Principal Examination | S40 |
*The SIE is a corequisite for this registration (i.e., GS = SIE + S7).