How to register for FINRA and NASAA securities exams
Last checked October 16, 2026 · Sources: FINRA SIE page, SIE FAQ, qualification exams table and Regulatory Notice 26-18; NASAA exams FAQ and August 10, 2026 announcement
How you register for securities exams depends on the exam. Anyone, including students, can enroll themselves for the SIE ($100); the Series 7 ($395) and other FINRA representative exams need a sponsoring FINRA member firm to request your enrollment; and NASAA says its Series 63, 65 and 66 can be taken without firm sponsorship. Each enrollment opens a 120-day window to test.
How to register for securities exams, step by step
Enroll yourself through FINRA and pay the $100 fee. FINRA says you don't need to be associated with a firm, and a pass stays valid for four years.
A FINRA member firm requests your enrollment for the Series 7 or another representative exam. FINRA says you need both the SIE and the Series 7 to become a general securities representative.
Enroll for the Series 63, 65 or 66 as your role requires. NASAA says these can be taken without firm sponsorship.
Once your enrollment is processed, you have a 120-day window to schedule and sit the exam. Book early to get the date and location you want.
Fees at a glance
| Exam | Fee | How you register |
|---|---|---|
| SIE | $100 | Self-enroll through FINRA |
| Series 6 | $100 | Through a sponsoring FINRA member firm |
| Series 7 | $395 | Through a sponsoring FINRA member firm |
| Series 63 | $147 | No sponsorship needed, per NASAA |
| Series 65 | $187 | No sponsorship needed, per NASAA |
| Series 66 | $177 | No sponsorship needed, per NASAA |
Fees from FINRA’s qualification exams table, checked October 16, 2026.
If you don’t pass
FINRA currently requires a 30-day wait after a first or second failure and 180 days after a third within two years, and you enroll and pay again each time. Under Regulatory Notice 26-18, FINRA’s waits shorten to 15 days and 60 days, with testing windows adjusted from January 19, 2027. NASAA keeps 30 days after a first or second failure on the Series 63, 65 and 66 but cuts the third-failure wait to 60 days from January 4, 2027.
Registration tips
- Take the SIE before you job hunt if you can; it shows firms you’ve already started and stays valid for four years.
- Don’t enroll until you’re close to ready, since the 120-day window starts when enrollment is processed.
- Ask your firm which state exam it needs: the Series 63, 65 or 66.
- Check your testing window after any failed attempt; FINRA notes waiting periods affect when the window starts.
Common questions about registering for securities exams
Can I register for the SIE without a job?
Yes, for the SIE. FINRA says you don’t need to be associated with a firm. The Series 7 needs a sponsoring FINRA member firm.
Do I need a sponsor for the Series 63, 65 or 66?
NASAA says the Series 63, 65 and 66 can be taken without firm sponsorship.
How long do I have to take the exam after enrolling?
120 days from when your enrollment is processed, according to FINRA.
How long is my SIE pass valid?
Four years from the date you pass, according to FINRA.
We first checked these sources on October 12, 2026 and rechecked them on October 16, 2026. MockTestPrep is independent and is not affiliated with FINRA or NASAA.