Representative-Level Exam Restructuring
Beginning October 1, 2018 FINRA is restructuring its representative-level qualification exam program by creating the Securities Industry Essentials (SIE) exam and revising the representative-level qualification exams.
Regulatory Relief for Testing and Continuing Education
FINRA is working to accommodate testing and regulatory element continuing education candidates impacted by Hurricanes Harvey and Irma.
Hurricane Harvey: We will automatically extend the enrollment windows due to expire between August 25, 2017 and September 22, 2017 for candidates who are in the affected counties and regions declared a "disaster" by the federal or state governments. The new enrollment end date will be extended until November 6, 2017.
Hurricane Irma: We will automatically extend the enrollment windows due to expire between September 5, 2017 and October 1, 2017 for candidates who are in the affected counties and regions declared a "disaster" by the federal or state governments. The new enrollment end date will be extended until November 15, 2017.
As more information becomes available, FINRA may provide additional extensions.
Please contact FINRA's Gateway Call Center at 301-590-6500 with any questions or if you require additional information.
To become registered, securities professionals must pass qualifying exams administered by FINRA to demonstrate their competence in the particular securities activities in which they will work. You must pass the exams prior to engaging in those areas of the business.
These exams cover a broad range of subjects on the markets, and the securities industry and its regulatory structure. This includes knowledge of FINRA rules and also the rules of other self-regulatory organizations (SROs). The purpose of the exams is to ensure that you acquire a minimum level of understanding and expertise.
The Duration column below is the amount of time permitted to complete your exam. Your appointment time includes an additional 30 minutes for taking the tutorial and completing the post-exam survey. Also, the Series 7 exam requires an additional 30-60 minute break between Parts I and II. The additional time for these activities or the required Series 7 break cannot be used toward completing the exam itself.