FINRA Securities Exam Prep

FINRA-administered exams are crucial for aspiring securities professionals to demonstrate their competency and engage in specific securities activities. These exams encompass a broad array of subjects concerning the markets, the securities industry, its regulatory structure, FINRA rules, and those of other self-regulatory organizations (SROs).

SIE

The Securities Industry Essentials® (SIE®) Exam is a beginner-level assessment of an individual's knowledge of basic securities industry information. The exam is open to anyone aged 18 or older and results are valid for four years. The exam comprises 75 questions with a time limit of 105 minutes.

Series 6

The Series 6 exam evaluates the competency of an individual to operate as an investment company and variable contracts products representative, focusing on the sales of mutual funds and variable annuities. The exam consists of 50 questions to be completed within 90 minutes.

Series 7

The Series 7 exam measures the candidate's knowledge needed to perform the functions of a general securities representative, involving sales of a variety of securities. The exam contains 125 questions, and candidates have 225 minutes to complete it.

Series 63

The Series 63 exam is the Uniform Securities State Law Examination, administered by FINRA under the NASAA. It consists of 60 questions, and candidates must answer at least 43 correctly within 75 minutes to pass.

Series 65

The Series 65 exam, or the NASAA Investment Advisers Law Examination, contains 130 questions, with a pass mark of at least 94 correct answers within 180 minutes.

Series 66

The Series 66 exam is the NASAA Uniform Combined State Law Examination, comprising 100 questions. Candidates must answer at least 73 correctly within 150 minutes to pass.

Note: Passing the SIE is required before attempting the Series exams, and all exams require association with a member firm. Achieving a pass in these exams equips you for registration with FINRA to engage in securities business.