Frequently Asked Questions

I had prior Series 6 registration, but left the industry for a couple of years. Now I am ready to come back and re-register for my Series 7. What exam(s) do I have to take?

Individuals whose registration was terminated between October 1, 2014, and September 30, 2018, will be granted credit for the SIE, provided they re-register as a representative within 4 years from the date of their last registration. Registrants whose registration terminated prior to October 1, 2014, will need to take both the Essentials (SIE) and the top-off exams.