Securities Exam Prep Requirements

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Securities Licensing & Exam Prep Requirements

Exam Outline

Exam Registration

How to get started in the Securities Industry

Get to know the securities industry regulators and rules

FINRA - Financial Industry Regulatory Authority (FINRA) is the organization in charge of securities licensing and requirements, and administration of exams for other self-regulatory organizations.
NASAA - North American Securities Administrators Association (NASAA) is the association of state securities administrators who are charged with the responsibility of protecting consumers who purchase securities or investment advice. NASAA develops and maintains the examination outlines and questions for the investment adviser representative licenses.

Determine which licenses and/or registrations are needed

In most cases completing the Securities Industry Essentials® (SIE®) exam is the first step towards a career in the securities industry. More information about products that can be sold with each of the licenses and registrations is below.

Study for exams

While completing an exam prep course is not required, it is recommended to complete an exam prep course before attempting to take licensing or registration exams.

Schedule and pass exams

Securities exams can be scheduled through the Prometric Testing Centers, you can access the testing center information on the FINRA website.

What is the Securities Industry Essentials® (SIE®) Exam?

This exam assesses a candidate’s knowledge of basic securities industry information. The SIE Exam will test your knowledge of capital markets, products and their risks, trading, customer accounts and prohibited activities, and an overview of the regulatory framework. Candidates don’t have to be registered or sponsored by a brokerage firm to take the SIE exam.

What is the Series 6?

The Series 6, also referred to as the Investment Company and Variable Contracts Products Representative Qualification Exam, allows individuals to sell mutual funds, variable annuities, variable life insurance, unit investment trusts (UITs), and municipal fund securities. To obtain the Series 6 license, first, you must pass the Securities Industry Essentials (SIE) exam, and then obtain sponsorship from a FINRA member firm or a self-regulatory organization to take the Series 6 exam. The Series 6 is often seen as the ideal companion license for those in the insurance industry.

What is the Series 7?

The Series 7, also known as the General Securities Registration, allows candidates to solicit, purchase and/or sell all securities products, including corporate securities, municipal fund securities, options, direct participation programs, investment company products and variable contracts. Qualifying for this registration requires a FINRA member firm or other applicable self-regulatory organization (SRO) member firm sponsorship and completing the Securities Industry Essentials® (SIE®) Exam.

What is the Series 63?

The Series 63 is a securities exam and license entitling the holder to solicit orders for any type of security in a particular state. The Series 63 qualification exam covers the principles of state securities regulation reflected in the Uniform Securities Act and will provide a basis for state securities administrators to determine an applicant’s knowledge and understanding of state law and regulations.

What is the Series 65?

The Series 65, also known as the Uniform Investment Adviser Law Examination, is an exam and license meant to qualify individuals to provide investing and general financial advice to clients. Passing the Series 65 exam qualifies individuals as Investment Advisor Representatives (IARs). The Series 65 qualification exam covers laws, regulations, ethics, and various topics important to the role of a financial adviser.

What is the Series 66?

The Series 66, also known as the Uniform Combined State Law Examination is an exam and license meant to qualify an individual to provide investing and general financial advice to clients. The Series 66 qualification exam covers economic factors and business information, investment vehicle characteristics, client/customer investment recommendations and strategies, laws, regulations, and guidelines including prohibition on unethical behavior. To register as an Investment Adviser Representative (IAR) based on the Series 66, individuals must also have passed the FINRA Series 7 exam, and that registration must be active.

What are the WebCE Securities Exam Prep course requirements?

WebCE securities exam prep courses follow the FINRA and NASAA exam content outlines. Students should read each lesson before proceeding to the next lesson.
WebCE suggests students pass the Exam Prep Practice exam with a score of 70% or higher and then utilize Exam Tutor and Flash Tutor for further practice before your exam day.

What is the access period for WebCE Securities Exam Prep courses?

12 months from the original purchase date.

Does WebCE supply a certificate of completion for Securities Exam Prep courses?

Online PDF certificates of completion are available to print immediately after passing the WebCE course exam. Certificates are for personal records and is not required for the exam.

This information is based on FINRA laws and regulations and is subject to change. WebCE makes every effort to make sure this information is current and accurate, however, WebCE is not engaged in rendering legal or professional advice and shall not be held responsible for inaccuracies contained herein. We urge you to check with your licensing regulator for complete and current information about its licensing rules and requirements.

Last updated on 5/16/2024

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