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Series 7

The Series 7 exam, also known as the General Securities Representative Exam, is a test for registered representatives. The Financial Industry Regulatory Authority administers the exam. In the United States, stockbrokers take this test to get a license to trade. The Series 7 is a six-hour exam held in two sessions. There are 260 questions on the test, 250 of which count toward the final score. Candidates have to score at least 72 percent to pass. The Securities Industry Essentials (SIE or Essentials) Exam, available beginning October 1, 2018, is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices.

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