What exam do you need after the SIE?
Passing the SIE does not register you or let you do securities business. Registration requires the SIE plus a qualification exam matched to the work you will do, and you must be associated with a FINRA member firm to take that second exam. FINRA lists Series 6, 7, 22, 57, 79, 82, 86 and 87, and 99 as the exams that follow the SIE.
The SIE is the same for everyone. The second exam is what varies, and FINRA pairs each one with a registration category.
Based on the qualification exam list published on FINRA's SIE exam page, retrieved 22 September 2026. Firms may require exams beyond the minimum. This is not career or legal advice.
How this works
Every outcome below is taken from the list of qualification examinations on FINRA's SIE exam page, which pairs each exam with the registration category it leads to. The gating facts are FINRA's too: the SIE is open to anyone 18 or older with no firm association required, SIE results are valid for four years, and an individual must be associated with a member firm to take a qualification exam. This tool tells you which exam corresponds to which work; it is not career advice and does not tell you whether a firm will hire you.
Worked examples
Someone who wants to sell mutual funds and variable contracts is heading for the Investment Company Representative registration, which is the Series 6. Someone who wants the broadest general securities role is heading for the Series 7. In both cases the SIE comes first and can be taken now, while the qualification exam waits until a member firm associates with them.
Study the topic
- Overview of the Regulatory Framework (9% of the SIE) · practice questions
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Primary references
- Securities Industry Essentials (SIE) Exam — Financial Industry Regulatory Authority (FINRA) · primary · retrieved 2026-09-22, verified 2026-09-22