1. Enroll for an Exam
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.
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) Regulatory Element
CE enrollment can be requested by the following individuals.
1. Individuals participating in the FSAWP Program
2. Individuals subject to MSRB Rule G-3
who are not registered within the CRD Program
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.