FINRA Practice Test Hub for SIE and Series Exams

Last revised: June 29, 2026

FINRA practice-test hub for SIE and Series representative, principal, trading, research, and investment-banking pages with live Finance Prep question banks, mock exams, and topic drills.

Use this FINRA hub to choose the live Finance Prep page for SIE and Series exams across representative, principal, trading, research, operations, investment-banking, and specialist paths. Each page gives sample exam questions, route-fit guidance, topic drills, practice tests, mock exams, detailed explanations, and a route-specific live question bank.

Finance Prep’s FINRA questions are original, scenario-based, and mapped to U.S. securities licensing workflows. They test customer accounts, products, suitability, orders, supervision, research, operations, and specialist judgment, not trivia or puzzle wording. Mastery Exam Prep / Finance Prep is independent and is not affiliated with FINRA; public samples are not official FINRA questions, copied live-exam content, or exam dumps.

Sample questions and practice preview

Open the exact FINRA exam page when you want public sample exam questions, practice test flow, mock exam review, and topic drills for that route. Strong FINRA practice should make you choose the compliant next step from a realistic workflow, not guess an isolated definition.

Practice modeWhat it should help you do
Sample exam questionsConfirm that the page matches your Series exam and that explanations are detailed enough to show the rule, product, or control issue.
Topic drillsIsolate weak areas such as products, suitability, order handling, supervision, research controls, operations, or investment-banking process.
Mock exam setsBlend scenario-based questions across the same decision mix you need for representative, principal, research, trading, or specialist exams.
Review explanationsSeparate tempting distractors from the best answer so mistakes become reusable exam judgment.

Finance Prep keeps FINRA practice provider-specific and original, without claiming access to official FINRA questions or copied live-exam content.

Best page to open first

If your goal is…Best pageWhy
Start the main U.S. representative pathSIEBest page when you still need the baseline before picking a top-off or specialist exam.
Compare representative and principal FINRA pagesFINRABest page when you are still sorting Series 6/7 versus 23/24/26/27/39 or research paths.
Open the research-supervision path firstSeries 16 RoadmapBest page when your target is supervisory analyst work rather than sales supervision or operations.
Open one exact supervisory analyst paperSeries 161 or Series 162Best page when you already know whether you need the regulations half or the valuation half.
Switch to state-law add-onsNASAABest page when the real target is Series 63, 65, or 66 rather than a FINRA-only exam.
Switch to municipal securities pagesMSRBBest page when the real target is Series 50, 51, 52, 53, or 54.
Switch to futures or forex proficiency pagesNFABest page when the real target is Series 30, 31, 32, 34, or the broader futures lane.

Typical FINRA path map

    flowchart TD
	  A["Start<br/>U.S. securities licensing"] --> B["SIE"]
	  B --> C["Representative routes<br/>Series 6 / Series 7 / Series 22 / Series 57 / Series 79 / Series 82"]
	  C --> D["Principal routes<br/>Series 23 / Series 24 / Series 26 / Series 27 / Series 28 / Series 39"]
	  C --> E["Research routes<br/>Series 86 + Series 87"]
	  E --> F["Supervisory analyst route<br/>Series 161 + Series 162"]

FINRA Series glossary

SeriesOfficial exam nameFirst-fit intentLive Finance Prep bank
SIESecurities Industry Essentials ExamBaseline U.S. securities knowledge before top-off exams2,507 practice questions
Series 4Registered Options Principal Qualification ExaminationOptions principal supervision2,220 practice questions
Series 6Investment Company and Variable Contracts Products Representative ExamPackaged-products and variable-contract representative route2,794 practice questions
Series 7General Securities Representative ExamBroad representative top-off route2,652 practice questions
Series 9General Securities Sales Supervisor (Options Module) ExamOptions supervision half of Series 9/102,305 practice questions
Series 10General Securities Sales Supervisor (General Module) ExamGeneral sales-supervision half of Series 9/102,336 practice questions
Series 14Compliance Officer Qualification ExamBroker-dealer compliance supervision2,507 practice questions
Series 16 path overviewSupervisory Analyst Qualification ExaminationResearch-supervision path spanning Series 161 and 162Use Series 161 + Series 162
Series 161Supervisory Analyst Qualification Examination, Part I: RegulationsResearch-report controls, disclosures, approvals, dissemination, and communication supervision2,460 practice questions
Series 162Supervisory Analyst Qualification Examination, Part II: Valuation of SecuritiesSource quality, valuation support, estimate review, and reasonable-basis supervision2,437 practice questions
Series 22Direct Participation Programs Representative Qualification ExaminationDPP representative route2,537 practice questions
Series 23General Securities Principal Exam - Sales Supervisor ModuleSeries 24 alternative for existing sales supervisors2,628 practice questions
Series 24General Securities Principal ExamBroad broker-dealer principal supervision2,378 practice questions
Series 26Investment Company and Variable Contracts Products Principal Qualification ExaminationPackaged-products principal supervision2,518 practice questions
Series 27Financial and Operations Principal Qualification ExaminationCarrying-firm FINOP route2,356 practice questions
Series 28Introducing Broker-Dealer Financial and Operations Principal Qualification ExaminationIntroducing-firm FINOP route2,628 practice questions
Series 39Direct Participation Programs Principal ExamDPP principal supervision2,640 practice questions
Series 57Securities Trader Qualification ExaminationTrading and market-structure route2,454 practice questions
Series 79Investment Banking Representative ExamInvestment-banking route2,355 practice questions
Series 82Private Securities Offerings Representative Qualification ExaminationPrivate-placement route2,500 practice questions
Series 86Research Analyst Qualification Examination (Part I)Research technical and valuation route2,540 practice questions
Series 87Research Analyst Qualification Examination (Part II)Research communications and regulatory route2,541 practice questions
Series 99Operations Professional Qualification ExaminationOperations workflow and control route1,947 practice questions

How the main FINRA exam groups differ

Route groupWhat it is really testing
SIEBaseline securities knowledge, product vocabulary, customer accounts, market structure, and prohibited practices
Representative examsCustomer-facing product recommendations, account workflow, trading basics, and sales-practice judgment
Principal examsSupervision, approvals, escalation, documentation, recordkeeping, and control accountability
Research examsValuation, financial analysis, research communications, and research-supervision boundaries
Operations / trader examsOrder handling, operational controls, settlement, audit trails, reporting, and market structure
Specialist examsInvestment banking, private offerings, DPPs, options, futures, or other narrower business-line responsibilities

Available now in Finance Prep

  • FINRA is the deepest U.S. exam family on this site, with live pages across SIE, major representative exams, principal exams, research exams, operations, and specialist series exams
  • The Series 16 supervisory-analyst path is shown as a path overview, while Series 161 and Series 162 are live practice pages for the two papers
  • If the real target is state law, municipal, or futures/forex rather than FINRA itself, switch early to NASAA , MSRB , or NFA

Adjacent U.S. route checks

If your target shifts to…Best pageWhy
State-law representative or adviser examsNASAABest page when the exam is Series 63, 65, or 66 rather than a FINRA-only route.
Municipal securities or municipal advisory workMSRBBest page when the exam is Series 50, 51, 52, 53, or 54.
Futures, managed funds, or retail forexNFABest page when the route is Series 3, 30, 31, 32, or 34.
A full U.S. sequencing mapU.S. RoadmapBest page when you still need to place FINRA, NASAA, MSRB, and NFA together.

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