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.
Free practice exams — live now
Series 65Free test live
130 scored questions · 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.
SIEFree test live
75 scored questions · 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.
Series 66Free test live
100 scored questions · 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.
In development
Series 63
60 scored questions · 75 minutes
Uniform Securities Agent State Law Examination
State-law exam for broker-dealer agents; paired with the SIE and Series 6 or 7.
Series 6
50 scored questions · 90 minutes
Investment Company and Variable Contracts Products Representative Exam
For representatives selling mutual funds and variable products.
Series 7
125 scored questions · 225 minutes
General Securities Representative Exam
The broadest securities representative license — stocks, bonds, options, and packaged products.
Series 9/10
General Securities Sales Supervisor Exams
Supervisory qualification for general securities sales activities.
Series 24
150 scored questions · 225 minutes
General Securities Principal Exam
Principal-level qualification for supervising investment banking and securities business.
Series 26
Investment Company and Variable Contracts Products Principal Exam
Principal-level qualification for supervising investment company and variable products business.
Series 27
Financial and Operations Principal Exam
FinOp qualification for carrying and clearing member firms.
Series 28
Introducing Broker-Dealer Financial and Operations Principal Exam
FinOp qualification for introducing broker-dealers.
Series 57
Securities Trader Representative Exam
For equity and proprietary traders at member firms.
Series 79
75 scored questions · 150 minutes
Investment Banking Representative Exam
For investment banking professionals advising on M&A, restructurings, and offerings.
Series 82
Private Securities Offerings Representative Exam
For representatives limited to private placement transactions.
Series 86/87
Research Analyst Exams
Qualification for preparing and approving equity research.
Series 99
Operations Professional Exam
For covered operations personnel at member firms.