Frequently Asked Questions

I am a current Series 6 registrant, but I need to obtain my Series 7 registration. What exam(s) will I need to take?

Individuals who are currently registered as Investment Company and Variable Contracts Products Representatives (Series 6) or General Securities Representatives (Series 7) will be granted credit for the SIE on their CRD record on October 1, 2018. Current registrants will be considered to have passed the essentials exam, so you will only be required to take a rep-level top-off exam for the registration position (e.g., Series 7 Top-Off).