FINRA Top-Off Combo Packages
Securities Industry Essentials (SIE) Exam
The Securities Industry Essentials (SIE or Essentials) Exam is a FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices.
FINRA Series 6 Top-Off – Investment Company and Variable Contracts Products Representative Examination
The exam measures the degree to which each candidate possesses the knowledge needed to perform the critical functions of an investment company and variable contract products representative, including sales of mutual funds and variable annuities.
The FINRA Series 6 Top-Off securities license is required for Registered Reps to sell Mutual Funds, Variable Life Insurance and Variable Annuities.
FINRA Series 7 Top-Off – General Securities Representative Examination
The exam measures the degree to which each candidate possesses the knowledge needed to perform the critical functions of a general securities representative, including sales of corporate securities, municipal securities, investment company securities, variable annuities, direct participation programs, options and government securities.
The FINRA Series 7 examination is required for a securities representative to sell corporate securities, municipal securities, investment company securities, variable annuities, direct participation programs, options and government securities.