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href="/registration-exams-ce/financial-industry-networking-directory" class="sf-depth-4" aria-labelledby="Financial Industry Networking Directory (FIND)">Financial Industry Networking Directory (FIND)</a></li></ol></li></ol></div></li></ol></li></ul></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentc47867f6-a419-4633-83aa-9fb4c8d8cda7--2" class="sf-depth-1 header menuparent"><a href="/events-training" class="sf-depth-1 menuparent" aria-labelledby="Events & Training">Events & Training</a><ul class="sf-multicolumn"><li class="sf-multicolumn-wrapper "><ol><li id="finra-homepage-nav-megamenus-new-menu-link-content9cd640c1-feb7-4c4a-b67e-a3eaedacd028--2" class="sf-depth-2 header sf-multicolumn-column menuparent"><div class="sf-multicolumn-column"><a href="/events-training" class="sf-depth-2 menuparent" aria-labelledby="Events & Training Section 1">Events & Training Section 1</a><ol><li 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Reporting Section 1">Filing & Reporting Section 1</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-contentf874a19d-557b-487f-88f1-3d84445f4bc9--2" class="sf-depth-3 header sf-no-children"><a href="/filing-reporting/finra-gateway" class="sf-depth-3" aria-labelledby="FINRA Gateway">FINRA Gateway</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentf6c4c3c6-93c8-42cf-ab58-476a92d01380--2" class="sf-depth-3 header sf-no-children"><a href="/filing-reporting/systems-status" class="sf-depth-3" aria-labelledby="Systems Status">Systems Status</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentd27e2150-fc22-4e07-98c1-2cce079184a8--2" class="sf-depth-3 header sf-no-children"><a href="/filing-reporting/entitlement" class="sf-depth-3" aria-labelledby="Entitlement Program">Entitlement Program</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content68c74d41-92b9-4e79-84e4-5c43beaf45dc--2" class="sf-depth-3 header sf-no-children"><a href="/filing-reporting/market-transparency-reporting" class="sf-depth-3" aria-labelledby="Market Transparency Reporting Tools">Market Transparency Reporting Tools</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentbb250ecd-0432-4ebc-bccf-a21e455fb617--2" class="sf-depth-3 header sf-no-children"><a href="/filing-reporting/regulatory-filing-systems" class="sf-depth-3" aria-labelledby="Regulatory Filing Systems">Regulatory Filing Systems</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content2de7e722-b3b2-471e-9cf2-587f649dd923--2" class="sf-depth-3 header sf-no-children"><a href="/filing-reporting/data-transfer-tools" class="sf-depth-3" aria-labelledby="Data Transfer Tools">Data Transfer Tools</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentec6d9be1-8ac6-4071-890c-52838b5490a2--2" class="sf-depth-3 header sf-no-children"><a href="/filing-reporting/e-bill" class="sf-depth-3" aria-labelledby="E-Bill">E-Bill</a></li></ol></div></li></ol></li></ul></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentabdfc859-e1e4-4071-9b99-9535c132ee72--2" class="sf-depth-1 header menuparent"><a href="/compliance-tools" class="sf-depth-1 menuparent" aria-labelledby="Compliance Tools">Compliance Tools</a><ul class="sf-multicolumn"><li class="sf-multicolumn-wrapper "><ol><li id="finra-homepage-nav-megamenus-new-menu-link-content318c9740-343f-48dd-a32e-600f8c817211--2" class="sf-depth-2 header sf-multicolumn-column menuparent"><div class="sf-multicolumn-column"><a href="/compliance-tools" class="sf-depth-2 menuparent" aria-labelledby="Compliance Tools Section 1">Compliance Tools Section 1</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-content2badcc82-a0ba-4813-a97b-5cde27a154a6--2" class="sf-depth-3 header sf-no-children"><a href="https://www.finra.org/compliance-tools/cybersecurity-checklist" class="sf-depth-3 sf-external" aria-labelledby="Cybersecurity Checklist">Cybersecurity Checklist</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content7f6b440c-bc36-49c7-900b-1fe8e36909db--2" class="sf-depth-3 header sf-no-children"><a href="/compliance-tools/compliance-calendar" class="sf-depth-3" aria-labelledby="Compliance Calendar">Compliance Calendar</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-contente0f11415-45ff-4cf1-925e-cf2b1f5cecf9--2" class="sf-depth-3 header sf-no-children"><a href="/compliance-tools/weekly-archive" class="sf-depth-3" aria-labelledby="Weekly Update Email Archive">Weekly Update Email Archive</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content170de235-7c02-4852-984e-95eef4499125--2" class="sf-depth-3 header sf-no-children"><a href="/compliance-tools/peer-2-peer-compliance-library" class="sf-depth-3" aria-labelledby="Peer-2-Peer Compliance Library">Peer-2-Peer Compliance Library</a></li></ol></div></li></ol></li></ul></li><li 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class="sf-depth-3 header menuparent"><a href="/investors/protect-your-money" class="sf-depth-3 menuparent" aria-labelledby="Protect Your Money">Protect Your Money</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-content84745677-33ee-4917-b6d7-78f2d33ae64a--2" class="sf-depth-4 header sf-no-children"><a href="/investors/alerts" class="sf-depth-4" aria-labelledby="Investor Alerts">Investor Alerts</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentbabb7a34-330b-432a-9c7a-3aed86cab6b3--2" class="sf-depth-4 header sf-no-children"><a href="/investors/protect-your-money/ask-and-check" class="sf-depth-4" aria-labelledby="Ask and Check">Ask and Check</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content75981642-a29c-4c2f-a04a-268dd98fd524--2" class="sf-depth-4 header sf-no-children"><a href="/investors/protect-your-money/avoid-fraud" class="sf-depth-4" aria-labelledby="Avoid Fraud">Avoid Fraud</a></li><li 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header menuparent"><a href="/investors/need-help" class="sf-depth-3 menuparent" aria-labelledby="Need Help?">Need Help?</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-contentf4bc73f1-2d52-4a24-9c44-7d956273b8fb--2" class="sf-depth-4 header sf-no-children"><a href="/investors/need-help/file-a-complaint" class="sf-depth-4" aria-labelledby="File a Complaint">File a Complaint</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentcca58141-8642-401c-acd4-a857dae74c57--2" class="sf-depth-4 header sf-no-children"><a href="/investors/need-help/helpline-seniors" class="sf-depth-4" aria-labelledby="FINRA Securities Helpline for Seniors">FINRA Securities Helpline for Seniors</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentb8670cad-ba33-4aff-a609-45c82362ed80--2" class="sf-depth-4 header sf-no-children"><a href="/arbitration-mediation" class="sf-depth-4" aria-labelledby="Dispute Resolution Services">Dispute Resolution Services</a></li><li 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id="block-finra-bootstrap-sass-system-main" data-block-plugin-id="system_main_block" class="block block-system block-system-main-block"> <div class="content"> <article class="node node--type-article node--view-mode-full clearfix node--promoted"> <div> <div class="layout layout--twocol-bricks"> <div class="row"> <div class="layout__region layout__region--top col-md-12"> <div class="block-region-top"><div data-block-plugin-id="entity_field:node:title" class="block block-ctools-block block-entity-fieldnodetitle"> <div class="content"> <span class="field field--name-title field--type-string field--label-hidden"><h1>Site Map</h1></span> </div> </div> </div> </div> </div> <div class="finra-container"> <div class="row"> </div> </div> <div class="finra-container"> <div class="row"> </div> </div> <div class="row"> <div class="layout__region layout__region--middle col-md-12"> <div class="block-region-middle"><div data-block-plugin-id="entity_field:node:body" class="block block-ctools-block block-entity-fieldnodebody"> <div class="content"> <div class="clearfix text-formatted field field--name-body field--type-text-with-summary field--label-hidden field__item"><ul><li><a href="/rules-guidance"><strong>Rules & Guidance</strong></a><ul><li><a href="/rules-guidance/rulebooks" title="FINRA Manual">FINRA Manual</a><ul><li><a href="/rules-guidance/rulebooks/updates" title="FINRA Manual Updates">FINRA Manual Updates</a></li><li><a href="/rules-guidance/rulebooks/finra-rules">FINRA Rules</a></li><li><a href="/rules-guidance/rulebooks/capital-acquisition-broker-rules">Capital Acquisition Broker Rules</a></li><li><a href="/rules-guidance/rulebooks/funding-portal-rules">Funding Portal Rules</a></li><li><a href="http://www.sec.gov/about/laws/secrulesregs.htm">SEC Rules and Regulations</a></li><li><a href="/rules-guidance/rulebooks/temporary-dual-finra-nyse-member-rule-series">Temporary Dual FINRA-NYSE Member Rule Series</a></li><li><a href="/rules-guidance/rulebooks/immediately-effective-rule-changes-pending-issuance-regulatory-notice" title="Immediately Effective Rule Changes Pending Issuance of a Regulatory Notice">Immediately Effective Rule Changes Pending Issuance of a Regulatory Notice</a></li><li><a href="/rules-guidance/rulebooks/immediately-effective-rule-changes-pending-sec-notification">Immediately Effective Rule Changes Pending SEC Notification</a></li><li><a href="/rules-guidance/rulebooks/recently-approved-rule-changes-pending-determination-effective-date">Approved Rule Changes Pending Determination of Effective Date</a></li><li><a href="/rules-guidance/rulebooks/retired-rules">Retired Rules</a></li><li><a href="/rules-guidance/rulebooks/corporate-organization" title="Corporate Organization">Corporate Organization</a><ul><li><a href="/rules-guidance/rulebooks/corporate-organization/restated-certificate-incorporation">Restated Certificate of Incorporation of Financial Industry Regulatory Authority, Inc.</a></li><li><a href="/rules-guidance/rulebooks/corporate-organization/trf-llc-agreements">TRF LLC Agreements</a></li><li><a href="/rules-guidance/rulebooks/corporate-organization/plan-allocation-delegation-functions">Plan of Allocation and Delegation of Functions by FINRA to FINRA Regulation, Inc.</a></li><li><a href="/rules-guidance/rulebooks/corporate-organization/by-laws-corporation">By-Laws of the Corporation</a></li><li><a href="/rules-guidance/rulebooks/corporate-organization/by-laws-finra-regulation">By-Laws of FINRA Regulation, Inc</a></li></ul></li></ul></li><li><a href="/rules-guidance/interpreting-rules">Interpreting the Rules</a></li><li><a href="/rules-guidance/notices">Notices</a></li><li><a href="/rules-guidance/guidance">Guidance</a><ul><li><a href="/rules-guidance/guidance/faqs">Frequently Asked Questions</a></li></ul></li><li><a href="/rules-guidance/key-topics">Key Topics</a><ul><li><a href="/rules-guidance/key-topics/advertising-regulation">Advertising Regulation</a></li><li><a href="/rules-guidance/key-topics/algorithmic-trading">Algorithmic Trading</a></li><li><a href="/rules-guidance/key-topics/annual-reports">Annual Reports</a></li><li><a href="/rules-guidance/key-topics/aml" title="Anti-Money Laundering">Anti-Money Laundering</a></li><li><a href="/rules-guidance/key-topics/books-records">Books & Records</a></li><li><a href="/rules-guidance/key-topics/breakpoints">Breakpoints</a></li><li><a href="/rules-guidance/key-topics/broker-dealer-recruitment-disclosures">Broker-Dealer Recruitment Disclosures</a></li><li><a href="/rules-guidance/key-topics/business-continuity-planning">Business Continuity Planning</a></li><li><a href="/rules-guidance/key-topics/conflicts-of-interest">Conflicts of Interest</a></li><li><a href="/rules-guidance/key-topics/consolidated-audit-trail-cat">Consolidated Audit Trail (CAT)</a></li><li><a href="/rules-guidance/key-topics/corporate-financing">Corporate Financing</a></li><li><a href="/rules-guidance/key-topics/covid-19">COVID-19 / Coronavirus</a></li><li><a href="/rules-guidance/key-topics/crypto-assets" title="Crypto Assets">Crypto Assets</a></li><li><a href="/rules-guidance/key-topics/customer-account-transfers">Customer Account Transfers</a></li><li><a href="/rules-guidance/key-topics/customer-information-protection">Customer Information Protection</a></li><li><a href="/rules-guidance/key-topics/cybersecurity">Cybersecurity</a></li><li><a href="/rules-guidance/key-topics/expungement-of-dispute-information" title="Expungement of Customer Dispute Information">Expungement of Customer Dispute Information</a></li><li><a href="/rules-guidance/key-topics/finra-examination-risk-monitoring-programs" title=" FINRA Examination and Risk Monitoring Programs">FINRA Examination and Risk Monitoring Programs</a></li><li><a href="/rules-guidance/key-topics/fintech">FinTech</a></li><li><a href="/rules-guidance/key-topics/fixed-income">Fixed Income</a></li><li><a href="/rules-guidance/key-topics/funding-liquidity">Funding and Liquidity</a></li><li><a href="/rules-guidance/key-topics/gifts-gratuities-and-non-cash-compensation" title=" Gifts, Gratuities and Non-Cash Compensation">Gifts, Gratuities and Non-Cash Compensation</a></li><li><a href="/rules-guidance/key-topics/information-and-testimony-requests" title=" Information and Testimony Requests">Information and Testimony Requests</a></li><li><a href="/rules-guidance/key-topics/margin-accounts">Margin Regulation</a></li><li><a href="/rules-guidance/key-topics/market-access">Market Access</a></li><li><a href="/rules-guidance/key-topics/mergers-acquisitions-business-transfers">Mergers, Acquisitions & Business Transfers</a></li><li><a href="/rules-guidance/key-topics/municipal-advisor-regulation">Municipal Advisor Regulation</a></li><li><a href="/rules-guidance/key-topics/municipal-securities">Municipal Securities</a></li><li><a href="/rules-guidance/key-topics/mutual-funds">Mutual Funds</a></li><li><a href="/rules-guidance/key-topics/private-placements">Private Placements</a></li><li><a href="/rules-guidance/key-topics/protecting-investors-from-misconduct" title=" Protecting Investors From Misconduct">Protecting Investors from Misconduct</a></li><li><a href="/rules-guidance/key-topics/public-offerings">Public Offerings</a></li><li><a href="/rules-guidance/key-topics/remote-inspections-pilot-program" title="Remote Inspections Pilot Program">Remote Inspections Pilot Program</a></li><li><a href="/rules-guidance/key-topics/research-analyst-rules">Research Analyst Rules</a></li><li><a href="/rules-guidance/key-topics/residential-supervisory-locations" title=" Residential Supervisory Locations (RSLs)">Residential Supervisory Locations (RSLs)</a></li><li><a href="/rules-guidance/key-topics/regulation-best-interest">SEC Regulation Best Interest (REG BI)</a></li><li><a href="/rules-guidance/key-topics/security-futures">Security Futures</a></li><li><a href="/rules-guidance/key-topics/senior-investors">Senior Investors</a></li><li><a href="/rules-guidance/key-topics/social-media">Social Media</a></li><li><a href="/rules-guidance/key-topics/suitability">Suitability</a></li><li><a href="/rules-guidance/key-topics/supervision">Supervision</a></li><li><a href="/rules-guidance/key-topics/tick-size-pilot-program">Tick Size Pilot Program</a></li><li><a href="/rules-guidance/key-topics/variable-annuities">Variable Annuities</a></li><li><a href="/rules-guidance/interpretive-questions">Interpretive Questions</a></li></ul></li><li><a href="/rules-guidance/rulemaking-process">The Rulemaking Process</a><ul><li><a href="/rules-guidance/rulemaking-process/retrospective-rule-review" title="Retrospective Rule Review">Retrospective Rule Review</a></li></ul></li><li><a href="/rules-guidance/rule-filings">Rule Filings</a></li><li><a href="https://tools.finra.org/rule_filings/">Rule Filing Status Report</a></li><li><a href="/rules-guidance/requests-for-comments">Requests for Comments</a></li><li><a href="/rules-guidance/rulebook-consolidation">Rulebook Consolidation </a></li><li><a href="/rules-guidance/oversight-enforcement">Enforcement</a><ul><li><a href="/rules-guidance/oversight-enforcement/disciplinary-actions-online">Disciplinary Actions Online</a></li><li><a href="/rules-guidance/oversight-enforcement/disciplinary-actions">Monthly and Quarterly Disciplinary Actions</a></li><li><a href="/rules-guidance/oversight-enforcement/sanction-guidelines">Sanction Guidelines & Fines Policy</a></li><li><a href="/rules-guidance/oversight-enforcement/individuals-barred-finra">Individuals Barred by FINRA</a></li></ul></li><li><a href="/rules-guidance/adjudication-decisions" title="Adjudications and Decisions">Adjudications & Decisions</a><ul><li><a href="/rules-guidance/adjudication-decisions/national-adjudicatory-council-nac" title="National Adjudicatory Council">National Adjudicatory Council (NAC)</a></li><li><a href="/rules-guidance/adjudication-decisions/office-hearing-officers-oho" title="Office of Hearing Officers’ Decisions and Orders">Office of Hearing Officers' Decisions and Orders</a><ul><li><a href="/rules-guidance/adjudication-decisions/office-hearing-officers-oho/about" title=" Office of Hearing Officers">Office of Hearing Officers (OHO)</a></li></ul></li></ul></li></ul></li><li><a href="/registration-exams-ce"><strong>Registration, Exams & CE</strong></a><ul><li><a href="/registration-exams-ce/registration">Registration</a></li><li><a href="/registration-exams-ce/broker-dealers">Broker Dealers</a><ul><li><a href="/registration-exams-ce/broker-dealers/new-firms" title=" Register a New Broker-Dealer Firm">Register a New Broker-Dealer Firm</a></li><li><a href="/registration-exams-ce/broker-dealers/registration-forms" title="Registration Forms">Registration Forms</a><ul><li><a href="/registration-exams-ce/broker-dealers/registration-forms/form-br" title="Form BR">Form BR</a></li><li><a href="/registration-exams-ce/broker-dealers/form-bd" title="Form BD">Form BD</a></li><li><a href="/registration-exams-ce/broker-dealers/registration-forms/form-bdw" title="Form BDW">Form BDW</a></li><li><a href="/registration-exams-ce/broker-dealers/registration-forms/form-u4" title="Form U4">Form U4</a></li><li><a href="/registration-exams-ce/broker-dealers/registration-forms/form-u5" title="Form U5">Form U5</a></li><li><a href="/registration-exams-ce/broker-dealers/registration-forms/form-u6" title="Form U6">Form U6</a></li></ul></li><li><a href="/registration-exams-ce/broker-dealers/terminate-firm-registration" title=" Terminate a BD Firm Registration">Terminate a Broker-Dealer Firm Registration</a></li><li><a href="/registration-exams-ce/broker-dealers/update-broker-dealer-firm-registration" title=" Update a Broker-Dealer Firm Registration">Update a Broker-Dealer Firm Registration</a><ul><li><a href="/registration-exams-ce/broker-dealers/update/when-to-file" title="When to File an Update">When to File an Update</a></li><li><a href="/registration-exams-ce/broker-dealers/update/form-bd-form-cma" title=" Form BD vs. Form CMA">Form BD vs. Form CMA</a></li><li><a href="/registration-exams-ce/broker-dealers/update/safe-harbor" title=" Safe Harbor for Business Expansions">Safe Harbor for Business Expansions</a></li><li><a href="/registration-exams-ce/broker-dealers/update/ownership-control" title=" Changes of Ownership or Control">Changes of Ownership or Control</a></li></ul></li><li><a href="/registration-exams-ce/broker-dealers/annual-renewal" title="Renew a BD Firm Registration">Renew a BD Firm Registration</a></li></ul></li><li><a href="/registration-exams-ce/capital-acquisition-brokers">Capital Acquisition Brokers</a></li><li><a href="/registration-exams-ce/funding-portals">Funding Portals</a></li><li><a href="/registration-exams-ce/individuals">Individuals</a><ul><li><a href="/registration-exams-ce/individuals/register-new-candidate" title="Register a New Candidate">Register a New Candidate</a></li></ul></li><li><a href="/registration-exams-ce/qualification-exams">Qualification Exams</a><ul><li><a href="/registration-exams-ce/qualification-exams/securities-industry-essentials-exam-sie">Security Industry Essentials<sup>®</sup> (SIE<sup>®</sup>) Exam</a></li><li>FINRA Representative-level Exams<ul><li><a href="/registration-exams-ce/qualification-exams/series6">Series 6 - Investment Company and Variable Contracts Products Representative Exam</a></li><li><a href="/registration-exams-ce/qualification-exams/series7">Series 7 - General Securities Representative Exam</a></li><li><a href="/registration-exams-ce/qualification-exams/series14">Series 14 - Compliance Officer Exam</a></li><li><a href="/registration-exams-ce/qualification-exams/series16">Series 16 - Supervisory Analysts Exam</a></li><li><a href="/registration-exams-ce/qualification-exams/series22">Series 22 - Direct Participation Programs Limited Representative Exam</a></li><li><a href="/registration-exams-ce/qualification-exams/series57">Series 57 - Securities Trader Representative Exam</a></li><li><a href="/registration-exams-ce/qualification-exams/series79">Series 79 - Investment Banking Representative Exam</a></li><li><a href="/registration-exams-ce/qualification-exams/series82">Series 82 - Private Securities Offerings Representative Exam</a></li><li><a href="/registration-exams-ce/qualification-exams/series86-87">Series 86 / 87 - Research Analyst Exam</a></li><li><a href="/registration-exams-ce/qualification-exams/series99">Series 99 - Operations Professional Exam</a></li></ul></li><li>FINRA Principal-level Exams<ul><li><a href="/registration-exams-ce/qualification-exams/series4">Series 4 - Registered Options Principal Examination (OP) Exam</a></li><li><a href="/registration-exams-ce/qualification-exams/series9-10">Series 9/10 - General Securities Sales Supervisor Exam</a></li><li><a href="/registration-exams-ce/qualification-exams/series23">Series 23 - General Securities Principal – Sales Supervisor Module Exam</a></li><li><a href="/registration-exams-ce/qualification-exams/series24">Series 24 - General Securities Principal Exam</a></li><li><a href="/registration-exams-ce/qualification-exams/series26">Series 26 - Investment Company Products/Variable Contracts Limited Principal Exam</a></li><li><a href="/registration-exams-ce/qualification-exams/series27">Series 27 - Financial and Operations Principal Exam</a></li><li><a href="/registration-exams-ce/qualification-exams/series28">Series 28 - Introducing Broker/Dealer Financial and Operations Principal Exam</a></li><li><a href="/registration-exams-ce/qualification-exams/series39">Series 39 - Direct Participation Programs Limited Principal Exam</a></li></ul></li><li>Municipal Securities Rulemaking Body (MSRB) Exams<ul><li><a href="/registration-exams-ce/qualification-exams/series50">Series 50 - Municipal Advisor Representative Exam</a></li><li><a href="/registration-exams-ce/qualification-exams/series51">Series 51 - Municipal Fund Securities Limited Principal Exam</a></li><li><a href="/registration-exams-ce/qualification-exams/series52">Series 52 - Municipal Securities Representative Exam</a></li><li><a href="/registration-exams-ce/qualification-exams/series53">Series 53 - Municipal Securities Principal Exam</a></li><li><a href="/registration-exams-ce/qualification-exams/series54">Series 54 - Municipal Advisor Principal Exam</a></li></ul></li><li>National Futures Association (NFA) Exams<ul><li><a href="/registration-exams-ce/qualification-exams/series3">Series 3 - National Commodities Futures Exam</a></li><li><a href="/registration-exams-ce/qualification-exams/series30">Series 30 - NFA Branch Manager Exam (formerly, Branch Managers Exam – Futures)</a></li><li><a href="/registration-exams-ce/qualification-exams/series31">Series 31 - Futures Managed Funds Exam</a></li><li><a href="/registration-exams-ce/qualification-exams/series32">Series 32 - Limited Futures Exam – Regulations</a></li><li><a href="/registration-exams-ce/qualification-exams/series34">Series 34 - Retail Off-Exchange Forex Exam</a></li></ul></li><li>North American Securities Administrators Association (NASAA) Exams<ul><li><a href="/registration-exams-ce/qualification-exams/series63">Series 63 - Uniform Securities Agent State Law Exam</a></li><li><a href="/registration-exams-ce/qualification-exams/series65">Series 65 - Uniform Investment Adviser Law Exam</a></li><li><a href="/registration-exams-ce/qualification-exams/series66">Series 66 - Uniform Combined State Law Exam</a></li></ul></li><li><a href="/registration-exams-ce/qualification-exams/enroll">Enroll for an Exam</a></li><li><a href="/registration-exams-ce/qualification-exams/schedule-exam">Schedule an Exam</a></li><li><a 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href="/filing-reporting/market-transparency-reporting/trade-reporting-faq" title=" Trade Reporting Frequently Asked Questions">Trade Reporting FAQs</a></li><li><a href="/filing-reporting/market-transparency-reporting/uniform-practice-code-upc" title=" Uniform Practice Code (UPC)">Uniform Practice Code (UPC)</a></li><li><a href="/filing-reporting/market-transparency-reporting/initiatives" title="Imrpovement Initiatives for Market Transparency Reporting Systems">Improvement Initiatives</a></li></ul></li><li><a href="/filing-reporting/regulatory-filing-systems">Regulatory Filing Systems</a><ul><li><a href="/filing-reporting/annual-audit">Annual Report</a></li><li><a href="/filing-reporting/blue-sheets">Blue Sheets</a></li><li><a href="/filing-reporting/derivatives-and-other-balance-sheet-items-obs/derivatives-and-other-balance-sheet-items-schedule-obs">Derivatives and Other Off-Balance Sheet Items Schedule (OBS)</a></li><li><a href="/filing-reporting/distribution-manager">Distribution 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