1. Enroll for an Exam
Whether you are new to the industry or are seeking to broaden your career, you may be required to complete a FINRA 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.
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.
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.
Learn More and Enroll
Continuing Education (CE) Program
FINRA administers the following CE programs.
NOTE: CE programs can only be requested if required by MSRB Rule G-3 for individuals not registered in the Web CRD system.
In order to enroll for FINRA qualifying exams, a candidate must be sponsored by a state regulator or regulatory authority approved to sponsor candidates for FINRA qualifying exams. Upon receipt of candidate eligibility information from a sponsoring organization, FINRA will email enrollment instructions to the candidate.