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.
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
FINRA administers the following NASAA exams.
Note: These exams can be taken at a test center or online.
» Series 63
» Series 65
» Series 66
Continuing Education (CE) Regulatory Element
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 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.
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.