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FINRA Practice Tests

Master your FINRA certification exams with official PlanetCert Practice Tests. Access real exam questions, detailed explanations, and our advanced adaptive simulator.

4 Exams
1253 Questions
Updated Oct 25

FINRA Exam Catalog

4 Available Exams

csc

Canadian Securities Course®

167 Q&A Oct 2025
Simulator Sample Questions
Series 7

GSR Qualification Examination (GS)

560 Q&A Sep 2021
Simulator Sample Questions
Series 63

Uniform Securities State Law Examination

371 Q&A Sep 2021
Simulator Sample Questions
SERIES-6

Series 6

155 Q&A Aug 2025
Simulator Sample Questions

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FINRA Certification Pathway

A clear progression from beginner to expert.

Foundation

Start here if you are entering the securities industry.

Securities Industry Essentials (SIE)

SIE
Introductory 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 Exam

Series 6
Corequisite with the SIE; focused on mutual funds, variable annuities, and related products.

Series 7 - General Securities Representative Exam

Series 7
Corequisite 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 Exam

Series 63
NASAA exam administered by FINRA; commonly layered onto Series 6 or Series 7.

Recent Changes

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 curren...
1979-04
Series 63 current exam track becomes effective: FINRA's state-law exam remains active from this e...
1980-08
Series 6 current exam track becomes effective: FINRA's investment company and variable contracts...
2007-07-30
FINRA begins operations: NASD and NYSE member regulation, enforcement, and arbitration functions...
2018-10-01
SIE and representative exam restructuring goes live: FINRA moves general knowledge into the SIE a...
2022-03-15
MQP becomes available: Eligible registrants can maintain qualifications through the Maintaining Q...
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

FINRA qualification and registration framework

flowchart TD SIE[Securities Industry Essentials] S6[Series 6] S7[Series 7] S63[Series 63] SIE --> S6 SIE --> S7 S6 -. state-law add-on .-> S63 S7 -. state-law add-on .-> S63

The perfect Fit for all professionals

Students and members of the public exploring a securities career

Professionals focused on students and members of the public exploring a securities career within this certification portfolio.

Career changers entering broker-dealer roles

Professionals focused on career changers entering broker-dealer roles within this certification portfolio.

Broker-dealer sponsored candidates

Professionals focused on broker-dealer sponsored candidates within this certification portfolio.

Registered representatives adding new product lines

Professionals focused on registered representatives adding new product lines within this certification portfolio.

Candidates who need state-law qualification

Professionals focused on candidates who need state-law qualification within this certification portfolio.

Your Complete Exam Solution

Best-In-Class Practice Tests

Authentic, regularly updated questions that mirror the real exam. Verified, current material — not recycled dumps.

Topical Breakdown

Study by domain, pinpoint weak areas, and focus your time where it matters most. Every topic mapped to the official syllabus.

Flashcard Mode

Rapid-fire review to reinforce key concepts. Flip through questions and answers at your own pace before exam day.

Planet Cert has what you need

01:45:22

Planet Cert offers top-notch tools for perfecting your exam preparation. From our interactive Exam Simulator to our comprehensive Study Modes, we ensure you are fully equipped to tackle your FINRA certification. We even provide detailed rationales so you understand exactly why an answer is correct.

But the preparation doesn't stop at just answering questions. Our platform guarantees full coverage of the official syllabus, breaking down complex topics into digestible formats. After all, passing on your first attempt is the ultimate goal.

At Planet Cert, we're committed to making certification painless by building the most robust learning platform. Backed by industry experts, our practice materials are more dynamic than traditional tools on the market, and we're always looking to improve our students' experience and workflow.

Ready to start your FINRA journey?

FINRA FAQs

What is the FINRA SIE exam?
The SIE is FINRA's introductory securities-industry exam. It tests basic industry knowledge and is not a registration category by itself.
Who can take the SIE?
Anyone age 18 or older can take the SIE, and you do not need to be associated with a broker-dealer first.
Do I still need a qualification exam after passing the SIE?
Yes. You still need the appropriate qualification exam, such as Series 6 or Series 7, and a firm association to register.
What does the Series 6 exam qualify you to do?
Series 6 covers mutual funds, variable annuities, variable life insurance, unit investment trusts, and municipal fund securities.
What does the Series 7 exam qualify you to do?
Series 7 covers broad general securities activity, including corporate securities, municipal securities, options, government securities, investment company products, variable contracts, and direct participation programs.
Is Series 63 a FINRA exam?
Series 63 is a NASAA exam administered by FINRA, and many states require it for securities business activity.
How long do FINRA exam results stay valid?
The SIE stays valid for four years. Other qualification exams generally stay valid for two years after registration ends.
Are FINRA exams updated when rules change?
Yes. FINRA monitors rule changes and updates exam items and outlines when needed.

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