Securities Industry Essentials Exam - Veteran Licensing Platform

FINRA owns and administers the Securities Industry Essentials exam. It is open to anyone age 18 or older without firm sponsorship. The SIE has 75 scored questions, allows 105 minutes, uses a passing score of 70, costs $100, and normally remains valid four years. Passing the SIE alone does not qualify an individual for FINRA or state registration.

Exam overview

Exam summary: FINRA Securities Industry Essentials (SIE)
Exam-specific prerequisites: No
Prerequisite explanation: Open to candidates age 18 or older; firm association is not required.

Exam structure

Number of questions: 75 scored questions
Exam duration: 105 minutes
Passing threshold / published scoring model: 70
Exam format: FINRA-administered qualification examination
Testing method: In-person

Cost & attempts

Exam fee: $100

Administrator (time-sensitive)

Administrator last verified date: 2026-08-26

Source governance

Official candidate handbook / exam outline: https://www.finra.org/registration-exams-ce/qualification-exams/securities-industry-essentials-exam
Primary authoritative source: https://www.finra.org/registration-exams-ce/qualification-exams/securities-industry-essentials-exam
Last verified date: 2026-08-26
Verification status: Verified
Review / recheck date: 2026-09-26

Continue the pathway

Alabama Broker-Dealer Agent Registration Requirements Conditionally Required
SIE is a co-requisite for current representative categories, not registration by itself.
Connecticut Broker-Dealer Agent Registration Requirements Conditionally Required
SIE is a co-requisite for current representative categories, not registration by itself.
Connecticut Investment-Adviser Representative Registration Requirements Conditionally Required
Required with Series 7 for the Series 66 alternative.
California Broker-Dealer Agent Registration Requirements Conditionally Required
SIE is a co-requisite for current representative categories, not registration by itself.
California Investment-Adviser Representative Registration Requirements Conditionally Required
SIE co-requisite for the Series 66 route.
Texas Broker-Dealer Agent Registration Requirements Conditionally Required
SIE is a co-requisite for current representative categories, not registration by itself.
Texas Investment-Adviser Representative Registration Requirements Conditionally Required
SIE co-requisite for the Series 66 route.
New York Broker-Dealer Agent Registration Requirements Conditionally Required
SIE is a co-requisite for current representative categories, not registration by itself.
New York Investment-Adviser Representative Registration Requirements Conditionally Required
SIE co-requisite for the Series 66 route.
Pennsylvania Broker-Dealer Agent Registration Requirements Conditionally Required
SIE is a co-requisite for current representative categories, not registration by itself.
Pennsylvania Investment-Adviser Representative Registration Requirements Conditionally Required
SIE co-requisite for the Series 66 route.
Illinois Broker-Dealer Agent Registration Requirements Conditionally Required
SIE is a co-requisite for current representative categories, not registration by itself.
Illinois Investment-Adviser Representative Registration Requirements Conditionally Required
SIE co-requisite for the Series 66 route.
Arizona Broker-Dealer Agent Registration Requirements Conditionally Required
SIE is a co-requisite for current representative categories, not registration by itself.
Arizona Investment-Adviser Representative Registration Requirements Conditionally Required
SIE co-requisite for the Series 66 route.
Georgia Broker-Dealer Agent Registration Requirements Conditionally Required
SIE is a co-requisite for current representative categories, not registration by itself.
Georgia Investment-Adviser Representative Registration Requirements Conditionally Required
SIE co-requisite for the Series 66 route.
Ohio Broker-Dealer Agent Registration Requirements Conditionally Required
SIE is a co-requisite for current representative categories, not registration by itself.
Ohio Investment-Adviser Representative Registration Requirements Conditionally Required
SIE co-requisite for the Series 66 route.
North Carolina Broker-Dealer Agent Registration Requirements Conditionally Required
SIE is a co-requisite for current representative categories, not registration by itself.
North Carolina Investment-Adviser Representative Registration Requirements Conditionally Required
SIE co-requisite for the Series 66 route.
Washington Broker-Dealer Agent Registration Requirements Conditionally Required
SIE is a co-requisite for current representative categories, not registration by itself.
Washington Investment-Adviser Representative Registration Requirements Conditionally Required
SIE co-requisite for the Series 66 route.
Florida Broker-Dealer Agent Registration Requirements Conditionally Required
SIE is a co-requisite for current representative categories, not registration by itself.
Florida Investment-Adviser Representative Registration Requirements Conditionally Required
SIE co-requisite for the Series 66 route.
Virginia Broker-Dealer Agent Registration Requirements Conditionally Required
SIE is a co-requisite for current representative categories, not registration by itself.
Virginia Investment-Adviser Representative Registration Requirements Conditionally Required
SIE co-requisite for the Series 66 route.
Michigan Broker-Dealer Agent Registration Requirements Conditionally Required
SIE is a co-requisite for current representative categories, not registration by itself.
Michigan Investment-Adviser Representative Registration Requirements Conditionally Required
SIE co-requisite for the Series 66 route.
Maryland Broker-Dealer Agent Registration Requirements Conditionally Required
SIE is a co-requisite for current representative categories, not registration by itself.
Maryland Investment-Adviser Representative Registration Requirements Conditionally Required
SIE co-requisite for the Series 66 route.
New Jersey Broker-Dealer Agent Registration Requirements Conditionally Required
SIE is a co-requisite for current representative categories, not registration by itself.
New Jersey Investment-Adviser Representative Registration Requirements Conditionally Required
SIE co-requisite for the Series 66 route.
Massachusetts Broker-Dealer Agent Registration Requirements Conditionally Required
SIE is a co-requisite for current representative categories, not registration by itself.
Massachusetts Investment-Adviser Representative Registration Requirements Conditionally Required
SIE co-requisite for the Series 66 route.
Tennessee Investment-Adviser Representative Registration Requirements Required
Current Tennessee Rule 0780-04-06-.03 requires SIE within 48 months for the ordinary examination-based initial IAR route; stated exceptions or waivers are applied separately.
New Hampshire Broker-Dealer Agent Registration Requirements Conditionally Required
SIE is a co-requisite for current representative categories, not registration by itself.
New Hampshire Investment-Adviser Representative Registration Requirements Conditionally Required
SIE co-requisite for the Series 66 route.
Oregon Investment-Adviser Representative Registration Requirements Conditionally Required
SIE co-requisite for the Series 66 route.
Alabama Investment-Adviser Representative Registration Requirements Conditionally Required
SIE co-requisite for the Series 66 route.
Arkansas Broker-Dealer Agent Registration Requirements Conditionally Required
SIE is a co-requisite for current representative categories, not registration by itself.
Arkansas Investment-Adviser Representative Registration Requirements Conditionally Required
SIE co-requisite for the Series 66 route.
Idaho Broker-Dealer Agent Registration Requirements Conditionally Required
SIE is a co-requisite for current representative categories, not registration by itself.
Idaho Investment-Adviser Representative Registration Requirements Conditionally Required
SIE co-requisite for the Series 66 route.
Indiana Broker-Dealer Agent Registration Requirements Conditionally Required
SIE is a co-requisite for current representative categories, not registration by itself.
Indiana Investment-Adviser Representative Registration Requirements Conditionally Required
SIE co-requisite for the Series 66 route.
Iowa Broker-Dealer Agent Registration Requirements Conditionally Required
SIE is a co-requisite for current representative categories, not registration by itself.
Hawaii Investment-Adviser Representative Registration Requirements Conditionally Required
SIE co-requisite for the Series 66 route.
Maine Broker-Dealer Agent Registration Requirements Conditionally Required
SIE is a co-requisite for current representative categories, not registration by itself.
Oregon Broker-Dealer Salesperson/Agent Registration Requirements Conditionally Required
SIE is a co-requisite for current representative categories, not registration by itself.
Mississippi Broker-Dealer Agent Registration Requirements Conditionally Required
SIE is a co-requisite for current representative categories, not registration by itself.
Mississippi Investment-Adviser Representative Registration Requirements Conditionally Required
SIE co-requisite for the Series 66 route.
Montana Broker-Dealer Agent Registration Requirements Conditionally Required
SIE is a co-requisite for current representative categories, not registration by itself.
Montana Investment-Adviser Representative Registration Requirements Conditionally Required
SIE co-requisite for the Series 66 route.
Nebraska Broker-Dealer Agent Registration Requirements Conditionally Required
SIE is a co-requisite for current representative categories, not registration by itself.
Nebraska Investment-Adviser Representative Registration Requirements Conditionally Required
SIE co-requisite for the Series 66 route.
Missouri Broker-Dealer Agent Registration Requirements Conditionally Required
SIE is a co-requisite for current representative categories, not registration by itself.
Missouri Investment-Adviser Representative Registration Requirements Conditionally Required
SIE co-requisite for the Series 66 route.
Nevada Broker-Dealer Agent Registration Requirements Conditionally Required
SIE is a co-requisite for current representative categories, not registration by itself.
Nevada Investment-Adviser Representative Registration Requirements Conditionally Required
SIE co-requisite for the Series 66 route.
North Dakota Broker-Dealer Agent Registration Requirements Conditionally Required
SIE is a co-requisite for current representative categories, not registration by itself.
North Dakota Investment-Adviser Representative Registration Requirements Conditionally Required
SIE co-requisite for the Series 66 route.
South Dakota Broker-Dealer Agent Registration Requirements Conditionally Required
SIE is a co-requisite for current representative categories, not registration by itself.
South Dakota Investment-Adviser Representative Registration Requirements Conditionally Required
SIE co-requisite for the Series 66 route.
Wyoming Broker-Dealer Agent Registration Requirements Conditionally Required
SIE is a co-requisite for current representative categories, not registration by itself.
Wyoming Investment-Adviser Representative Registration Requirements Conditionally Required
SIE co-requisite for the Series 66 route.
New Mexico Broker-Dealer Agent Registration Requirements Conditionally Required
SIE is a co-requisite for current representative categories, not registration by itself.
New Mexico Investment-Adviser Representative Registration Requirements Conditionally Required
SIE co-requisite for the Series 66 route.
Rhode Island Broker-Dealer Agent Registration Requirements Conditionally Required
SIE is a co-requisite for current representative categories, not registration by itself.
Rhode Island Investment-Adviser Representative Registration Requirements Conditionally Required
SIE co-requisite for the Series 66 route.
Oklahoma Broker-Dealer Agent Registration Requirements Conditionally Required
SIE is a co-requisite for current representative categories, not registration by itself.
Oklahoma Investment-Adviser Representative Registration Requirements Conditionally Required
SIE timing is part of the Series 66 route under the current rule.
South Carolina Broker-Dealer Agent Registration Requirements Conditionally Required
SIE is a co-requisite for current representative categories, not registration by itself.
South Carolina Investment-Adviser Representative Registration Requirements Conditionally Required
SIE is a co-requisite for the Series 66 route.
Minnesota Investment-Adviser Representative Registration Requirements Conditionally Required
SIE is a national prerequisite for Series 66 registration credit.
Minnesota Broker-Dealer Agent Registration Requirements Conditionally Required
SIE is a co-requisite for current representative categories, not registration by itself.
Hawaii Broker-Dealer Agent Registration Requirements Conditionally Required
SIE is a co-requisite for current representative categories, not registration by itself.
Wisconsin Broker-Dealer Agent Registration Requirements Conditionally Required
SIE is a co-requisite for current representative categories, not registration by itself.
Wisconsin Investment-Adviser Representative Registration Requirements Conditionally Required
SIE is a national prerequisite for Series 66 registration credit.
Delaware Broker-Dealer Agent Registration Requirements Conditionally Required
SIE is a co-requisite for current representative categories, not registration by itself.
Delaware Investment-Adviser Representative Registration Requirements Conditionally Required
SIE is a national prerequisite for Series 66 registration credit.
Alaska Broker-Dealer Agent Registration Requirements Conditionally Required
SIE is a co-requisite for current representative categories, not registration by itself.
Colorado Broker-Dealer Agent Registration Requirements Conditionally Required
SIE is a co-requisite for current representative categories, not registration by itself.
Colorado Investment-Adviser Representative Registration Requirements Conditionally Required
SIE is a national prerequisite for Series 66 registration credit.
Iowa Investment-Adviser Representative Registration Requirements Conditionally Required
SIE is a national prerequisite for Series 66 registration credit.
Alaska Investment-Adviser Representative Registration Requirements Conditionally Required
SIE is a national prerequisite for Series 66 registration credit.
District of Columbia Broker-Dealer Agent Registration Requirements Conditionally Required
SIE may be a co-requisite for the applicable representative category; it is not registration by itself.
Utah Broker-Dealer Agent Registration Requirements Required
SIE is a co-requisite, not registration by itself.
Tennessee Broker-Dealer Agent Registration Requirements Conditionally Required
SIE is a co-requisite only when the selected FINRA representative category requires it; SIE alone is not registration.
Louisiana Broker-Dealer Agent Registration Requirements Conditionally Required
SIE is a co-requisite only when the selected FINRA representative category requires it; SIE alone is not registration.
Vermont Broker-Dealer Agent Registration Requirements Conditionally Required
SIE is a co-requisite only when the selected FINRA category requires it; SIE alone is not registration.
Kansas Broker-Dealer Agent Registration Requirements Conditionally Required
SIE is a co-requisite only when the selected FINRA category requires it; SIE alone is not registration.
West Virginia Broker-Dealer Agent Registration Requirements Conditionally Required
SIE is a co-requisite only when the selected FINRA category requires it; SIE alone is not registration.
General Securities Principal Registration Required
SIE is a corequisite for the ordinary GP route and is not registration by itself.
Investment Company and Variable Contracts Products Principal Registration Required
SIE is required for the IP route and is not registration by itself.
General Securities Sales Supervisor Registration Required
SIE is a corequisite for the SU route and is not registration by itself.

Compare education providers

Alphabetical options; compensation never determines eligibility or placement. Confirm the exact course and jurisdiction before enrolling. This directory is not exhaustive.

No currently verified published offerings match. Check official provider and regulator resources; additional options may exist.