Vendor
FINRA exams
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- Exams
- 4
- Questions
- 1,253
Question sets
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Certification paths
How the certifications fit together
Foundation
Start here if you are entering the securities industry.
- Securities Industry Essentials (SIE)SIEIntroductory FINRA exam; open to anyone 18 or older and valid for four years.
Representative
Choose the track that matches your products and day-to-day role.
- Series 6 - Investment Company and Variable Contracts Products Representative ExamSeries 6Corequisite with the SIE; focused on mutual funds, variable annuities, and related products.
- Series 7 - General Securities Representative ExamSeries 7Corequisite with the SIE; broad general securities track for many product types.
State Law
Add the state-law exam when a jurisdiction requires it.
- Series 63 - Uniform Securities Agent State Law ExamSeries 63NASAA exam administered by FINRA; commonly layered onto Series 6 or Series 7.
What changed
The timeline
- 1939
NASD registers with the SEC: FINRA's predecessor becomes a national securities association.
- 1974-09
Series 7 current exam track becomes effective: FINRA's general securities track enters the current catalog in this effective month.
- 1979-04
Series 63 current exam track becomes effective: FINRA's state-law exam remains active from this effective month.
- 1980-08
Series 6 current exam track becomes effective: FINRA's investment company and variable contracts track remains active from this effective month.
- 2007-07-30
FINRA begins operations: NASD and NYSE member regulation, enforcement, and arbitration functions consolidate into FINRA.
- 2018-10-01
SIE and representative exam restructuring goes live: FINRA moves general knowledge into the SIE and revises representative-level exams to reduce duplicate testing.
- 2022-03-15
MQP becomes available: Eligible registrants can maintain qualifications through the Maintaining Qualifications Program instead of requalifying by exam.
- August 28, 2023
Broker-dealer EVEP opens for Series 63
- September 30, 2025
MQP participants can opt into FIND
- December 11, 2025
FinPro Gateway adds Dec. 11 disclosure letter notification reminders
- January 1, 2026
2026 exam fee schedule increases
- January 20, 2026
U5 filing notices can now cc compliance contacts
- February 5, 2026
FinPro adds disclosure-letter review notifications
- March 30, 2026
FIFC portal launched for intelligence access
- April 1, 2026
FinPro Gateway combines Form U4 edits with e-sign tasks
- April 1, 2026
FinPro adds mandatory email validation and U4 e-sign rules
- April 11, 2026
Mobile and tablet support added for FinPro profile sections
- April 24, 2026
BD Profiles shows registration status history
- April 30, 2026
Small Cap Fraud form and larger upload limits added
- May 9, 2026
Public Offering System releases modernized filing form
- May 21, 2026
FinPro lets firms set earlier IAR CE due dates
- May 27, 2026
FIFC Cyber Intelligence Intake form added
- June 4, 2026
FINRA Gateway help menu consolidation in top navigation
- June 29, 2026
FINRA filing proposes shorter retake waits for qualification exams
- June 29, 2026
Qualification exam retake waits now 15/60 days
- June 30, 2026
FINRA Gateway adds Broker/IAR Comments section
- July 18, 2026
New base shelf filing form required
- August 5, 2026
FIFC submissions now allow 5 files and ET time display
- August 15, 2026
Public Offering System adds AI-assisted confidential filing
- August 19, 2026
FINRA Gateway FIFC adds cybersecurity practices link
- August 31, 2026
FinPro/MQP task list adds API Center access and Launch CE links
- September 9, 2026
FIFC adds imposter alerts and engagement statistics
- September 17, 2026
FIFC adds post-submission notes and notification controls
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