Securities Licensing Exam Practice

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Exam coverage

33 exams

SIE, representative, principal, municipal, and futures exam coverage.

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SIESeries 7Series 63Series 65Series 66Series 79
Professionals preparing for securities licensing exams together around a laptop

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SIESeries 7Series 66

All Exams

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Every exam is visible here, grouped by path, and linked to its own practice page so you can start a free 20-question set without losing time.

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Essentials

Core licensing entry points and foundational exam paths.

1 exams

Representative

Front-line rep licenses covering customer-facing securities business.

9 exams

Principal & Supervision

Supervisory, operations, analyst, and principal-level responsibilities.

13 exams
Series 4

Registered Options Principal Exam

1,380 Qs

Build options supervision instincts before exam day.

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Series 9 & 10

General Securities Sales Supervisor Exam

2,240 Qs

Drill supervisory judgment, review workflows, and branch controls.

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Series 14

Compliance Officer Exam

940 Qs

Sharpen supervisory and compliance judgement for firm-level oversight.

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Series 16 Part 1

Supervisory Analyst Regulations Exam

760 Qs

Practice the rules behind research supervision and public communications.

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Series 16 Part 2

Supervisory Analyst Valuation of Securities Exam

720 Qs

Build confidence on valuation methods and analyst review standards.

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Series 23

General Securities Principal Exam Sales Supervisor

820 Qs

Review suitability, supervision, and supervisory principal obligations.

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Series 24

General Securities Principal Exam

2,480 Qs

Prepare for principal-level supervision across the full broker-dealer stack.

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Series 26

Investment Company and Variable Contracts Products Principal Exam

980 Qs

Train supervisory workflows for investment company and variable products.

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Series 27

Financial and Operations Principal Exam

1,260 Qs

Work through the formulas and reporting logic behind FINOP responsibility.

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Series 28

Introducing Broker-Dealer Financial and Operations Principal Exam

1,801 Qs

Practice the operational controls most relevant to introducing firms.

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Series 39

Direct Participation Programs Principal Exam

840 Qs

Focus on supervisory judgments for DPP business lines.

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Series 86 & 87

Research Analyst Exam

1,420 Qs

Combine analytical rigor with research-report compliance practice.

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Series 99

Operations Professional Exam

1,180 Qs

Strengthen operational process knowledge with scenario-heavy drills.

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Municipal

Municipal securities and advisory exam tracks.

5 exams

Futures & Forex

Commodity, futures, and forex-focused licenses.

5 exams

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Current exam path: General Securities Representative Exam
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