Enroll for an Exam
1. Enroll for an Exam
COVID-19 Guidance on FINRA-Administered Exams
Please see the complete message including information about online test delivery.
Whether you are new to the industry or are seeking to broaden your career, you may be required to pass an 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 associated with a broker-dealer or investment adviser, please consult with your firm before submitting an exam enrollment request. Your firm may be required to submit a Form U4 to request an exam on your behalf.
To enroll for the appropriate exam, find it below and click the Enroll button for that group. You will automatically be directed to the correct enrollment process for that exam.
For the best experience, please use a Windows laptop or desktop. Users have reported issues enrolling on Mac, mobile and tablet devices.
Note: These exams will only be available online for candidates requiring a testing accommodation.
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1. Individuals participating in the FSAWP Program
The SIE, S6 and S7 can be taken at a test center or online. Any candidate interested in taking other FINRA exams online must complete and submit the FINRA Online Exam Administration Request Form before scheduling an exam appointment.