Though we recommend you schedule your exam as far in advance as possible, scheduling an SIE or top-off exam may be easier than it was in the past at many exam centers, due to the shortened length of the new exams.

Exam appointments are made with Prometric directly. Once candidates are enrolled for an exam, they will have a 120-day window to schedule an appointment with Prometric.

Passing the SIE Exam does not register you with FINRA or qualify you to engage in securities business. To become fully registered, you are required to pass a second, more specialized, “top-off exam” (e.g., the Series 6 or Series 79)  – once you are associated with and sponsored by a registered securities firm.

After a first and/or second failure, there is a 30-day wait. After a third failure, there is a six-month waiting period before the exam can be retaken.

Your SIE credential is valid for four years. However, you must pass a top-off exam within that four-year window to avoid needing to retake the SIE Exam. Once individuals pass a top-off exam, they become fully registered and their SIE license remains valid for as long as they maintain that registration, plus for an additional four years after leaving the securities business.