Enroll for a Series Exam

Effective October 1, 2018, the Securities Industry Essentials (SIE or Essentials) Exam is available. It is a new FINRA exam for prospective securities industry professionals. The introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices.

Whether you are new to the industry or are seeking to broaden your career, you may be required to complete a Series exam. Reasons include:

  • you are looking to become a securities industry professional and are required by a state regulator or by an approved regulatory authority to take an exam;
  • you are looking to become an MSRB representative or principal;
  • you are applying for NFA membership or as an Associated Person of an NFA member;
  • you are seeking to become licensed by a state regulator to work with investors in that state.

NOTE: If you are looking to enroll for an exam via Form U10, you should instead use the enrollment process below. If you are with a FINRA member firm, your firm must file a Form U4 on the Web CRD system to request an exam.

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To enroll for the appropriate Series exam, find it below and click the Enroll button for that Series group. You will automatically be directed to the correct enrollment process for that Series.

Securities Industry Essentials (SIE) Exam
This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices.
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NASAA Exams
FINRA administers the following NASAA exams.

» Series 63 » Series 65 » Series 66
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NFA Exams
FINRA administers the following NFA exams.

»Series 3 » Series 30 » Series 31 » Series 32 » Series 34
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MSRB Exams
FINRA administers the following  MSRB exams.

» Series 50  » Series 51  » Series 52  » Series 53
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Continuing Education (CE) Program
FINRA administers the following CE programs.

» S101 »  S106 »  S901 »  S201

NOTE: CE programs can only be requested if required by MSRB Rule G-3 for individuals not registered in the Web CRD system.
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FINRA Exams
NOTE: FINRA qualifying exams that grant licensure can only be requested if you are sponsored by a state regulator or an approved regulatory authority.
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