About the SIE Exam

About the SIE Exam

If you’re sitting for FINRA’s Securities Industry Essentials (SIE) Exam or any of the qualifying exams such as the Series 6 or Series 7, you need to know what to expect on exam day. Here are answers to some frequently asked questions about FINRA exams.

How Do I Schedule My Exam?

You will need to schedule your exam with your nearest Prometric testing center. Prometric became the exclusive vendor as of January 1, 2018 to deliver FINRA exams, displacing Pearson VUE. FINRA exams are no longer held at Pearson VUE testing centers.

What Are the ID Requirements?

On exam day, you’ll be required to show one form of valid government-issued ID. It must include a photo of you and your signature. The testing center will also take your photo and record your signature in person.

Additionally, you may have to provide a fingerprint or palm print, as well as pass through a metal detector and show that your pockets are empty. Don’t let the level of security rattle you.

When Should I Arrive?

Be sure to arrive at least 30 minutes early for your exam time. If you arrive late, you may have to deduct the amount of time you were late from your examination time (or be charged a cancellation fee). FINRA has an inclement weather policy should the weather make it unsafe to travel to the testing center.

What Can I Bring into the Testing Lab?

After check-in, you must put all personal items in a storage locker. We strongly suggest you do not wear or bring anything valuable to the exam. Use of cell phones, handheld computers, and other electronics is prohibited (even during breaks).
You will be escorted into the testing lab with only your picture ID and locker key. The testing center will provide you with a four-function calculator, two dry-erase boards, and two dry erase pens to use during the exam. Noise cancelling headphones will also be available.

What Instructions Will I Receive Prior to The Exam?

Each cubicle desk has a computer and you will be required to participate in a pre-test tutorial. It will explain the functions of the computer and walk you through answering sample multiple-choice questions. You can preview the tutorial on the FINRA website.

When Will I Get My Score?

Because the exam is computer based, you’ll get your unofficial results once you’ve completed the exam. You’ll see right on your computer screen whether you’ve passed or failed the exam as well as performance indicators for each exam section. The testing center will also provide you with a printout of your results.

FINRA posts your official results with the Central Registration Depository or reports them to your regulator within three business days of your exam.

What If I Fail?

If you do not pass the exam, per FINRA Rule 1070(e), you must wait at least 30 days before you can retake the exam. If you fail three or more times in a row, you will have to wait 180 days before retaking the exam.