How to sign up for and schedule the SIE exam

Step by step

1. Go to FINRA’s SIE enrollment site and create an account. FINRA recommends a Windows laptop or desktop, because Mac, phone and tablet users have reported problems.
2. Enroll for the SIE and pay the $100 fee by credit card, ACH or voucher.
3. FINRA posts a 120-day window. You must take the exam inside it.
4. Schedule with Prometric online or by phone at (800) 578-6273. Have your name, FINRA ID number and phone number ready.
5. Pick a test center or an online appointment. Book early to get the date you want.

Enrolling through a firm or school

If you work at a firm with CRD access, it can enroll you through Form U4 or buy vouchers for you. Schools and training companies can buy vouchers too. Either way, you still book your appointment with Prometric.

Changing or canceling

Cancel or reschedule in time to avoid fees. Changing 3 to 10 business days before costs $50. Within 2 business days, or a no-show, costs the full exam fee.

To switch from a test center to online, you have to cancel the test center appointment first.

Booking a Series exam

For the Series 7, your sponsoring firm enrolls you on Form U4. For the Series 63, 65 and 66, you can enroll through your firm, or on your own through FINRA’s Test Enrollment Services System if you aren’t with a firm. You book the appointment with Prometric the same way.