Browse Exams — Mock Exams & Practice Tests

FINRA Securities Licensing — Study Hubs, Syllabi & Practice

FINRA exam prep hub starting with the Securities Industry Essentials (SIE): blueprint-aligned syllabus, cheat sheet, study plan, resources, and practice.

FINRA licensing exams test practical knowledge of products, markets, ethics, and the rules that govern securities activity. This vendor hub includes the Securities Industry Essentials (SIE) plus representative- and principal-level exams like Series 3, Series 4, Series 6, Series 7, Series 9, Series 10, Series 14, Series 22, Series 24, Series 26, Series 27, Series 50, Series 52, Series 57, Series 79, Series 82, Series 86, Series 87, and Series 99.

Jump to

SIE Series 3 Series 4 Series 6 Series 7 Series 9 Series 10 Series 14 Series 22 Series 24 Series 26 Series 27 Series 50 Series 52 Series 57 Series 79 Series 82 Series 86 Series 87 Series 99

Each exam hub on this site follows a consistent flow:

  • Overview: what’s tested and how to prepare
  • Study Plan: 30/60/90‑day schedules (when available)
  • Syllabus: learning objectives mapped to topics
  • Cheatsheet: high-yield definitions, rules, and common traps
  • Practice: drills and mixed sets (when available)
  • FAQ & Resources: common questions and authoritative links

SIE exam hub
Tip: Use the outline weights to set priorities, and drill the vocabulary—many SIE misses are definition-level (products, order types, suitability, and prohibited practices).

Series 3 exam hub
Tip: Build a clean workflow for contract specs → margin/settlement math → strategy selection → regulatory constraints. Series 3 rewards accuracy under time pressure.

Series 4 exam hub
  • Series 4 — Registered Options Principal (OP)
    Principal-level options supervision: approving options accounts, supervising strategies and margin, trading/market access controls, communications review, and personnel/supervisory controls.
Tip: Most points live in F2/F3/F6. Build “principal reflexes” for suitability/best-interest decisions, margin and risk monitoring, and trade/market-access controls, then lock in clean points with communication approvals and supervision/recordkeeping discipline.

Series 6 exam hub
Tip: Most points live in F3. Master mutual fund pricing/math, breakpoints and share classes, plus variable product costs/benefits and the suitability/disclosure process.

Series 22 exam hub
Tip: Most points live in F3. Master DPP structures, fees/conflicts, liquidity limits, and the tax reporting mindset (K-1, passive losses, basis, depreciation — high level).

Series 24 exam hub
  • Series 24 — General Securities Principal
    Principal-level supervision across registration/personnel, broker-dealer operations, customer activity, trading/market making, and investment banking/research controls.
Tip: Most points come from supervision decisions across functions. Practice choosing the control-escalation-documentation path that is most defensible.

Series 26 exam hub
Tip: Prioritize supervision-of-business-activities content first, then lock in points with personnel and office procedure controls.

Series 27 exam hub
Tip: Build speed in operations/recordkeeping and financial reporting first, then reinforce net capital and customer protection calculations/workflows.

Series 50 exam hub
Tip: Most points are in municipal finance and debt structuring/pricing. Drill issuer objectives, risk tradeoffs, and compliant advisory process choices.

Series 52 exam hub
Tip: Start with municipal securities product mechanics and issuance/trading workflows, then reinforce regulation and macro-rate context.

Series 57 exam hub
Tip: Most points live in F1. Build “workflow reflexes” for order handling and restrictions (halts, short sale rules, Reg NMS), then lock in F2 with clean reporting/audit-trail decisions (CAT, confirmations, settlement).

Series 79 exam hub
Tip: Most points live in F1. Build reflexes for financial statement linkages, EV vs equity definitions, and valuation tool selection, then lock in clean points with F2 offering paths (registered vs exempt) and F3 deal-process sequencing.

Series 82 exam hub
Tip: Most points live in F1. Learn the private offering workflow end-to-end (communications → eligibility → documentation → subscription), then lock in clean points with F2/F3 on profile facts, disclosures, and recordkeeping discipline.

Series 86 exam hub
Tip: Most points live in F3. Master valuation definitions (EV vs equity), metric selection (P/E vs EV multiples vs DCF/DDM), and assumption discipline, then lock in F2 with clean accounting comparability and ratio logic.

Series 87 exam hub
Tip: Most points live in F4. Build a “disclosure reflex” (what must be included, when approvals are required, how conflicts are handled), then lock in F5 by avoiding rumor/manipulation traps and knowing which dissemination channels are controlled and recorded.

Series 99 exam hub
  • Series 99 — Operations Professional
    Operations-focused exam: onboarding and cashiering, custody and control, settlement/fail control, confirmations/statements, financial controls, and books-and-records discipline.
Tip: Most points live in F1. Build workflow reflexes from onboarding → funds movement → settlement → statements → books/records, then lock in F2 with privacy, complaint escalation, and supervision/BCP controls.

Series 7 exam hub
Tip: Most points live in F3 (recommendations + product knowledge). Build speed on F4 (orders/settlement/margin) to lock in “clean” points.

Series 9 exam hub
Tip: Most points live in F2 and F1. Build “options supervisor reflexes” for account approval levels and required disclosures (ODD/special statements), margin implications, limits/large-position monitoring, assignment/exercise operations, and error/complaint handling.

Series 10 exam hub
Tip: Most points live in F3 and F2. Build “supervisor reflexes” for daily trade review, complaints and error handling, KYC/CIP/AML controls, funds movement verification, and margin calls—then lock in clean points with F4 communications approvals and F1 branch/inspection discipline.

Series 14 exam hub
  • Series 14 — Compliance Officer Qualification Exam (CR)
    Compliance officer exam: supervision systems, surveillance and exception management, books-and-records and reporting awareness, capital/margin concepts (high level), registration workflows, and communications/telemarketing supervision.
Tip: Most points live in F2 and F5. Build “control reflexes” for supervision and escalation, then lock in clean points with recordkeeping/reporting awareness and communications approval discipline.

In this section

  • FINRA SIE Exam Prep — Syllabus, Practice Questions & Mock Exams
    Prepare for the Securities Industry Essentials (SIE) exam with a blueprint-aligned syllabus, high-yield cheat sheet, and realistic SIE practice tests in the FINRA Exam Prep app (iOS/Android) and web.
  • Series 10 Exam — Mock Exams & Practice Tests
    Prepare for FINRA Series 10 (General Securities Sales Supervisor, Part 1 of Series 9/10) with a blueprint-aligned syllabus, high-yield supervisor cheat sheet, authoritative resources, and exam-style practice.
  • Series 14 Exam — Mock Exams & Practice Tests
    Prepare for the FINRA Series 14 (Compliance Officer Qualification Exam) with a blueprint-aligned syllabus, a high-yield compliance officer cheat sheet, authoritative resources, and exam-style practice.
  • Series 22 Exam — Mock Exams & Practice Tests
    Prepare for the FINRA Series 22 (Direct Participation Programs Limited Representative) with a blueprint-aligned syllabus, high-yield cheat sheet, authoritative resources, and exam-style practice.
  • Series 24 Exam — Mock Exams & Practice Tests
    Prepare for the FINRA Series 24 (General Securities Principal) with a blueprint-aligned syllabus, high-yield cheat sheet, authoritative resources, and exam-style practice.
  • Series 26 Exam — Mock Exams & Practice Tests
    Prepare for the FINRA Series 26 (Investment Company Products/Variable Contracts Principal) with a blueprint-aligned syllabus, high-yield cheat sheet, authoritative resources, and exam-style practice.
  • Series 27 Exam — Mock Exams & Practice Tests
    Prepare for the FINRA Series 27 (Financial and Operations Principal (FINOP)) with a blueprint-aligned syllabus, high-yield cheat sheet, authoritative resources, and exam-style practice.
  • Series 3 Exam — Mock Exams & Practice Tests
    Prepare for the FINRA Series 3 (National Commodity Futures Examination) with a blueprint-aligned syllabus, high-yield cheat sheet, authoritative resources, and exam-style practice.
  • Series 4 Exam — Mock Exams & Practice Tests
    Prepare for FINRA Series 4 (Registered Options Principal) with a blueprint-aligned syllabus, an options-principal cheat sheet, authoritative resources, and exam-style practice.
  • Series 50 Exam — Mock Exams & Practice Tests
    Prepare for the FINRA Series 50 (Municipal Advisor Representative) with a blueprint-aligned syllabus, high-yield cheat sheet, authoritative resources, and exam-style practice.
  • Series 52 Exam — Mock Exams & Practice Tests
    Prepare for the FINRA Series 52 (Municipal Securities Representative) with a blueprint-aligned syllabus, high-yield cheat sheet, authoritative resources, and exam-style practice.
  • Series 57 Exam — Mock Exams & Practice Tests
    Prepare for the FINRA Series 57 (Securities Trader) with a blueprint-aligned syllabus, high-yield cheat sheet, authoritative resources, and exam-style practice.
  • Series 6 Exam — Mock Exams & Practice Tests
    Prepare for the FINRA Series 6 (Investment Company and Variable Contracts Products Representative) with a blueprint-aligned syllabus, high-yield cheat sheet, authoritative resources, and exam-style practice.
  • Series 7 Exam — Mock Exams & Practice Tests
    Prepare for the FINRA Series 7 (General Securities Representative) with a blueprint-aligned syllabus, high-yield cheat sheet, authoritative resources, and exam-style practice.
  • Series 79 Exam — Mock Exams & Practice Tests
    Prepare for the FINRA Series 79 (Investment Banking Representative) with a blueprint-aligned syllabus, a valuation-focused cheat sheet, authoritative resources, and exam-style practice.
  • Series 82 Exam — Mock Exams & Practice Tests
    Prepare for the FINRA Series 82 (Private Securities Offerings Representative) with a blueprint-aligned syllabus, a private-placements cheat sheet, authoritative resources, and exam-style practice.
  • Series 86 Exam — Mock Exams & Practice Tests
    Prepare for FINRA Series 86 (Research Analyst Qualification Exam Part I) with a blueprint-aligned syllabus, a comprehensive modeling/valuation cheat sheet, authoritative resources, and exam-style practice.
  • Series 87 Exam — Mock Exams & Practice Tests
    Prepare for FINRA Series 87 (Research Analyst Qualification Exam Part II) with a blueprint-aligned syllabus, a comprehensive research compliance/report-writing cheat sheet, authoritative resources, and exam-style practice.
  • Series 9 Exam — Mock Exams & Practice Tests
    Prepare for FINRA Series 9 (General Securities Sales Supervisor, Part 2 of Series 9/10) with a blueprint-aligned syllabus, high-yield options supervision cheat sheet, authoritative resources, and exam-style practice.
  • Series 99 Exam — Mock Exams & Practice Tests
    Prepare for FINRA Series 99 (Operations Professional) with a blueprint-aligned syllabus, a comprehensive operations cheat sheet, authoritative resources, and exam-style practice.
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