All Licensing Exams - LearnFinance

SIE

Securities Industry Essentials

Foundational knowledge of the securities industry required before any representative-level exam.

75 questions 105 min 70% to pass

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Series 7

General Securities Representative

Qualifies individuals to sell a broad range of securities products including stocks, bonds, and options.

125 questions 225 min 72% to pass

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Series 6

Investment Company / Variable Contracts

Qualifies individuals to sell mutual funds, variable annuities, and insurance premium products.

50 questions 90 min 70% to pass

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Series 63

Uniform Securities Agent State Law

Covers state securities regulations required for agents transacting business in most states.

60 questions 75 min 72% to pass

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Series 65

Uniform Investment Adviser Law

Qualifies individuals as investment adviser representatives under state securities law.

130 questions 180 min 72% to pass

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Series 66

Uniform Combined State Law

Combines Series 63 and 65 content for securities agents who also act as investment advisers.

100 questions 150 min 73% to pass

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Series 79

Investment Banking Representative

Qualifies individuals to advise on or facilitate debt and equity offerings and mergers and acquisitions.

75 questions 150 min 73% to pass

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Series 82

Private Securities Offerings

Qualifies individuals to sell private placement securities under Regulation D and other exemptions.

50 questions 90 min 70% to pass

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Series 86/87

Research Analyst

Two-part exam qualifying individuals to publish research reports and make recommendations on securities.

135 questions 375 min 73% to pass

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Series 99

Operations Professional

Qualifies individuals performing operations functions at a broker-dealer firm.

50 questions 90 min 68% to pass

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Series 52

Municipal Securities Representative

Qualifies individuals to transact business in municipal securities with public customers.

75 questions 150 min 70% to pass

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Series 50

Municipal Advisor Representative

Qualifies individuals to provide advice to municipal entities on bond issuances and investments.

100 questions 180 min 71% to pass

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Series 3

National Commodities Futures

Qualifies individuals to sell commodity futures contracts, options, and forex on behalf of clients.

120 questions 150 min 70% to pass

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Series 24

General Securities Principal

Qualifies individuals to manage or supervise a broker-dealer's investment banking or securities business.

150 questions 225 min 70% to pass

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Series 27

Financial and Operations Principal

Qualifies individuals to manage the financial and operational compliance of a broker-dealer firm.

145 questions 225 min 69% to pass

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Series 53

Municipal Securities Principal

Qualifies individuals to manage and supervise municipal securities activities at a broker-dealer.

100 questions 180 min 70% to pass

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Series 4

Registered Options Principal

Qualifies individuals to supervise a firm's options trading activities and compliance.

125 questions 165 min 72% to pass

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Series 9/10

General Securities Sales Supervisor

Two-part exam qualifying individuals to supervise sales activities at a general securities broker-dealer.

200 questions 330 min 70% to pass

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