SIE + Series 6 + Series 63
Securities Industries Essentials (SIE) exam
Created in 2018, the SIE exam was designed to provide a head start into a financial services career — showing job seekers’ interest and aptitude in the field, as well as helping them stand out to potential employers. This introductory-level exam covers fundamental concepts for working in the industry and is required and administered by the Financial Industry Regulatory Authority (FINRA).
75 Questions
1h 45m
70%
73%
Requisites
None
Topics
- Types of products and their risks
- Structure of securities markets
- Regulatory agencies and their functions
- Prohibited practices
Retake Wait Periods
After the first or second time a candidate fails the SIE, there is a mandatory 30 day waiting period before they can take the exam again. After the third (and subsequent) fails, the waiting period increases to 180 days. The $100 exam fee applies each time they take the exam.
What’s Next
After passing the SIE exam, you can take either the Series 6 or the Series 7 exam to pursue licensure.
Series 6
Created in 1980, the Series 6 exam was designed to assess the competency of an entry-level registered representative to perform their job as an investment company and variable contracts products representative. The Series 6 exam is administered by the Financial Industry Regulatory Authority (FINRA), and required by FINRA and SEC.
50 Questions
1h 30m
70%
58%
Requisites
Corequisites
Topics
- Product knowledge of investment companies and variable products
- Regulation
- Customer accounts
- Taxation
- Securities markets
- Retirement plans
Retake Wait Periods
After the first or second time a candidate fails the Series 6, there is a mandatory 30-day waiting period before they can take the exam again. After the third (and subsequent) fails, the waiting period increases to 180 days. The $100 exam fee applies each time they take the exam.
What’s Next
For potential Registered Representatives, Financial Advisers, Financial Consultants, and Registered Associates, the Series 6 exam is a great way to further your career. Series 6 is a prerequisite for the Series 26 exam.
Series 63
The Series 63 exam — Uniform Securities Agent State Law Examination — covers the principles of state securities regulation and rules prohibiting dishonest or unethical practices as reflected in the Uniform Securities Act.
60 Questions
1h 15m
72%
80% - 85%
Requisites
None
Topics
- State securities rules and regulations
- Soliciting customers
- Record keeping
- Ethical practices and fiduciary obligations
- Technical terminology
Retake Wait Periods
After the first or second time a candidate fails the Series 63, there is a mandatory 30-day waiting period before they can take the exam again. After the third (and subsequent) fails, the waiting period increases to 6 months. The $147 exam fee applies each time they take the exam.
What’s Next
For current and potential Registered Representatives, Financial Advisers, Financial Consultants, and Registered Associates, the Series 63 exam is a great way to further your career. Series 63 is not a prerequisite for any other securities test.
Prep Packages
Be confident, fully prepared, and ready to pass.
As your first stepping-stone into the industry, you may be unsure of what to expect during the SIE exam. And Series 6 not only features tricky concepts, but also tricky wording. You need a course that prepares you enough to ensure you’ll pass both.
With Us You Can
Study Smarter
Retention Over Memorization
We’ll provide you with in-depth content and practice questions that mimic the actual test — so there are no surprises come exam day.
Shorten Your Study Time
Delivering content based performance to help you move on from concepts you’ve mastered and going deeper into ones you haven’t.
Customize Your Studies
Delivering content based performance to help you move on from concepts you’ve mastered and going deeper into ones you haven’t.
Virtual, Online Classes
Led by industry experts, providing students with pertinent securities exam essentials and the knowledge needed to successfully pass.
From self-proclaimed bad test-takers to those with little to-no-experience, we equip our studiers with everything needed to pass the first time.
Course Material
Your Ultimate Resource
We have created the ultimate resource to help ensure you pass — the first time. Developed by experts in FINRA licensing, our coursework incorporates everything you need to know to successfully take this important step in advancing your career.
Multi-level Assessments
Includes Quick Quizzes at the topic level.
Chapter Video Lectures
Created by expert Instructors, aligned with the book’s content.
Animated Videos
Reinforcing key concepts and test-taking strategies with simulated exam questions.
Scored and Graded Assessments
Check Your Understanding, Chapter Exams, Mid-Term Exams, and Fixed Final Exams.
Clear and concise course material
Increased efficiency in learning, allowing more time for Final Practice Exams.
Intuitive & Modern User Interface
Our LMS allows you to engage easily and keep careful track of your progress, so you can focus on learning.
Our Pass Promise
Our Pass Promise courses are thorough, proven and come with a guarantee that students who complete the program will pass their licensing exams. Pass Promise courses guarantee you will pass your exam the first time. And if you don’t, you’ll get a full refund, or you can keep access to all the materials and resources — for free — until you do.
Promise Guarantee
75%
Pass at least 3 practice final exams with a 75% or higher score.
5 days
Take your licensing exam within 5 days of passing the 3 finals.
SIE, Series 6