Investment professional reviewing Series 65 study materials on a tablet against a city skyline

FINRA and NASAA exam prep

Finance & Securities

Question banks for securities licensing exams — from the SIE through the Series 65/66 and beyond, mapped to the official FINRA and NASAA content outlines.

Live courses — free sample + Chapter 1

Series 65Live

180 minutes · 92 correct (~71%) to pass

Uniform Investment Adviser Law Examination

The exam for investment adviser representatives. No firm sponsorship required — you can register and sit for it on your own.

Large bank · 365 verified Qs · free sample + Ch. 1

SIELive

105 minutes · passing score 70

Securities Industry Essentials Examination

The entry point to the securities industry. Open to anyone 18+ — no firm sponsorship required, and it's the first rung of the Series 6/7 ladder.

Large bank · 335 verified Qs · free sample + Ch. 1

Series 63Live

75 minutes · 43 correct (~72%) to pass

Uniform Securities Agent State Law Examination

State-law exam for broker-dealer agents; paired with the SIE and Series 6 or 7.

Large bank · 291 verified Qs · free sample + Ch. 1

Series 66Live

150 minutes

Uniform Combined State Law Examination

Combines the Series 63 and 65 for candidates who also hold the Series 7. The common path at broker-dealer firms.

Large bank · 306 verified Qs · free sample + Ch. 1

Series 6Live

90 minutes

Investment Company and Variable Contracts Products Representative Exam

For representatives selling mutual funds and variable products.

Large bank · 181 verified Qs · free sample + Ch. 1

Series 7Live

225 minutes · passing score 72

General Securities Representative Exam

The broadest securities representative license — stocks, bonds, options, and packaged products.

Large bank · 336 verified Qs · free sample + Ch. 1

Series 9/10Live

General Securities Sales Supervisor Exams

Supervisory qualification for general securities sales activities.

Starter bank · 30 verified Qs · free sample + Ch. 1

Series 24Live

225 minutes

General Securities Principal Exam

Principal-level qualification for supervising investment banking and securities business.

Starter bank · 31 verified Qs · free sample + Ch. 1

Series 26Live

Investment Company and Variable Contracts Products Principal Exam

Principal-level qualification for supervising investment company and variable products business.

Starter bank · 30 verified Qs · free sample + Ch. 1

Series 27Live

Financial and Operations Principal Exam

FinOp qualification for carrying and clearing member firms.

Starter bank · 29 verified Qs · free sample + Ch. 1

Series 28Live

Introducing Broker-Dealer Financial and Operations Principal Exam

FinOp qualification for introducing broker-dealers.

Starter bank · 30 verified Qs · free sample + Ch. 1

Series 57Live

Securities Trader Representative Exam

For equity and proprietary traders at member firms.

Starter bank · 30 verified Qs · free sample + Ch. 1

Series 79Live

150 minutes

Investment Banking Representative Exam

For investment banking professionals advising on M&A, restructurings, and offerings.

Starter bank · 30 verified Qs · free sample + Ch. 1

Series 82Live

Private Securities Offerings Representative Exam

For representatives limited to private placement transactions.

Starter bank · 30 verified Qs · free sample + Ch. 1

Series 86/87Live

Research Analyst Exams

Qualification for preparing and approving equity research.

Starter bank · 30 verified Qs · free sample + Ch. 1

Series 99Live

Operations Professional Exam

For covered operations personnel at member firms.

Starter bank · 29 verified Qs · free sample + Ch. 1

Securities exam ladder

Common progression for FINRA/NASAA licenses. Start with free samples and Chapter 1 on each course; unlock what you need for your role.