Securities Licensing Exam Prep: SIE, Series 6, Series 7, and More

To sell or supervise the sale of securities in the United States, FINRA generally requires you to pass the Securities Industry Essentials (SIE) exam plus at least one representative-level or principal-level qualification exam. While the SIE can be taken without sponsorship, most qualification exams require sponsorship by a FINRA member firm. Depending on the role and state requirements, candidates may also need to pass a NASAA state-law exam, such as the Series 63, Series 65, or Series 66.

ExamFX offers securities exam preparation across a range of FINRA, NASAA, and NFA registration exams. From the entry-level SIE, Series 6, Series 7 to principal-level exams like Series 4, 9, and 10, and S24 as well as state-law exams, including S63, S66, S65. ExamFX also has exam preparation for NFA exams, S3, S31, and S34 exams. Candidates and their sponsoring firms can find the right securities license classes for their registration needs.

Popular FINRA

SIE

Securities Industry Essentials Exam

The entry point into the industry; assesses basic product, market, and regulatory knowledge and has no sponsorship requirement.

About the Exam View Packages

Popular FINRA

Series 6

Investment Company and Variable Contracts Representative Exam

For representatives who will sell mutual funds, variable annuities, and other investment company products.

About the Exam View Packages

Popular FINRA

Series 7

General Securities Representative Exam

For representatives who will sell the full range of securities, including stocks, bonds, and options.

About the Exam View Packages

Popular FINRA

Bundle: SIE + Series 6

Securities Industry Essentials + Investment Company and Variable Contracts Products Representative Exam

Two courses in one! The integrated SIE and Series 6 bundle includes two different exam prep training courses within a single purchase, providing candidates with multiple ways to study and prepare for their exams. Gain complete flexibility on how to study, while saving time and money by choosing this option.

About the Exam View Packages

Popular FINRA

Bundle: SIE + Series 7

Securities Industry Essentials + General Securities Representative

Two courses in one! The integrated SIE and Series 7 bundle includes two different exam prep training courses within a single purchase, providing candidates with multiple ways to study and prepare for their exams. Gain complete flexibility on how to study, while saving time and money by choosing this option.

About the Exam View Packages

Popular NASAA

Series 63

Uniform Securities Agent State Law Exam

A NASAA state-law exam required (alongside Series 6 or 7) in most states before you can work as a securities agent; no corequisite of its own and no firm sponsorship required to sit the exam.

About the Exam View Packages

Popular NASAA

Series 65

Uniform Investment Adviser Law Exam

A NASAA exam for investment adviser representatives and fee-based financial planners; no corequisite and no firm sponsorship required to sit the exam.

About the Exam View Packages

Popular NASAA

Series 66

Uniform Securities Agent Combined State Law Exam

A NASAA exam that combines the Series 63 and Series 65 content into one test; no firm sponsorship required to sit the exam. The Series 7 is a corequisite for obtaining dual broker-dealer agent and investment adviser representative qualification.

About the Exam View Packages

NFA

Series 3

National Commodities Futures Exam

An NFA exam for professionals who will sell commodity futures contracts and options on futures.

About the Exam View Packages

NFA

Series 31

Futures Managed Funds Exam

Allows professionals to sell or supervise managed futures funds and commodity pools.

About the Exam View Packages

FINRA

Series 4

Registered Options Principal Exam

For principals who will supervise a firm's options business.

About the Exam View Packages

NFA

Series 34

Retail Off-Exchange Forex Exam

Required to handle foreign currency trading.

About the Exam View Packages

FINRA

Series 24

General Securities Principal Exam

A principal exam that qualifies a principal to manage and supervise broker-dealer activities. There are a handful of corequisites, which can include the SIE + Series 7 exams.

About the Exam View Packages

FINRA

Series 10

General Securities Sales Supervisor Exam (Part 1 - General)

Together qualify a principal to supervise a firm's general securities sales activity (Series 9 covers options supervision, Series 10 covers general supervision).

About the Exam View Packages

FINRA

Series 9

General Securities Sales Supervisor Exam (Part 2 - Options)

Together qualify a principal to supervise a firm's general securities sales activity (Series 9 covers options supervision, Series 10 covers general supervision).

About the Exam View Packages

Do I need to pass the SIE before I can take a FINRA representative exam?

No. The SIE is a corequisite to Series 6 and Series 7, meaning you must pass both the SIE and your representative-level exam to become registered, though they can be taken in either order. Also, the Series 4, 9, 10, and 24 require both the SIE and Series 7 as corequisites.

Do I need to be sponsored by a firm to take these exams?

It depends on the exam. The SIE, Series 63, Series 65, and Series 66 may be taken without firm sponsorship. Most FINRA representative- and principal-level exams, such as the Series 6, Series 7, Series 4, Series 9, Series 10, and Series 24, require sponsorship by a FINRA member firm.

What's the difference between a representative exam and a principal exam?

Representative exams (Series 6, Series 7) qualify you to sell specific securities products to customers. Principal exams (Series 4, 9, 10, 24) qualify you to supervise other registered representatives' sales activity in those same product areas and require you to already hold, or be sitting for, the underlying representative registration.

How long are SIE results valid?

SIE exam results are valid for four years. If you pass the SIE but don't become associated with a sponsoring firm and pass a qualification exam within four years, you'll need to retake the SIE.

What's the difference between the Textbook, Online Course, and Live Online packages?

The Textbook package is a printed book plus practice tests for self-paced, offline study. The Online Course package adds on-demand video and flashcards. The Live Online package adds scheduled, instructor-led webinars on the most challenging exam topics on top of everything in the Online Course tier. All three include chapter-level quizzes, checkpoint exams, and final exams; the Live Online tier is only offered on the SIE, Series 6, Series 7, Series 63, Series 65, and Series 66 courses.

Does ExamFX offer online securities training?

Yes. ExamFX's securities exam prep is available fully online, covering the SIE, FINRA representative, FINRA principal, NASAA, and NFA exams. You can complete your securities license training on your own schedule, from Textbook through Live Online packages.

Jason

ExamFX was a great way for me to prepare for the Series 7! The self-guided study program allowed al the flexibility to fit into my work schedule. Using the chapter quizzes helped in focusing on what needed to still be mastered.

Jason

Series 7

Tyler

Passed all 4 of my Securities Exams (SIE, S6, S63, and S65). I am a State Farm agent aspirant and needed to take all the exams to become an Agent. I was able to register and extend my training if needed. I even did the Live Study Sessions with an instructor! I appreciated the practice questions and quick chapter quizzes, along with the different test questions!

Tyler H.

SIE, Series 6, Series 63, Series 65

Jean

This is easily the best program for Securities Licensing out there. I had used a program prior that led me to actually fail my exam the first time due to a lack of comprehension, but when put through ExamFX's program, I passed with flying colors! Don't look anywhere else for a study program, this here is the one to buy! Thank you, ExamFX!

Jean P.

Insurance Agent

Bruce

Love the ease in which ExamFX delivers this material. I simply followed their structured study plan and passed my exam, no problem,

Bruce

Securities America