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Frequently Asked Questions
What are the new Series 6 and Series 7 exam co-requisites?
The SIE exam is a co-requisite to the revised Series 6 and Series 7 exams (“Top-Off exams” or “representative-level qualification exams”). To obtain the investment company and variable contracts products registration (Series 6), candidates must pass both the Series 6 exam and the Securities Industry Essentials (SIE) exam. To obtain the general securities registration (Series 7), candidates must pass both the Series 7 exam and the SIE exam.