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Exam History
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Start with the SIE — required for all FINRA licenses — then move on to the Series 7, Series 63, or Series 66.
Securities Industry Essentials (SIE)
Required for all FINRA licenses · 75 questions · 105 minutes · 72% to pass
Knowledge of Capital Markets
Regulatory entities, market structure, economic factors, and offerings. ~16% of SIE.
Understanding Products & Their Risks
Equity, debt, packaged products, options, and alternative investments. ~44% of SIE.
Trading, Customers & Prohibited Activities
Accounts, orders, settlement, suitability, and prohibited practices. ~31% of SIE.
Overview of the Regulatory Framework
SROs, FINRA rules, SEC regulations, and industry registration. ~9% of SIE.
Full SIE Practice Exam
All four domains mixed and weighted by the official FINRA SIE exam blueprint.
Series 7 — General Securities Representative
Requires SIE + firm sponsorship · 125 questions · 225 minutes · 72% to pass
Seeks Business for the Broker-Dealer
Communications, marketing, investment products, and soliciting customers. ~7% of Series 7.
Opens Accounts & Evaluates Customer Profiles
Account types, customer information, suitability, margin, and investment objectives. ~9% of Series 7.
Provides Information & Makes Recommendations
Securities analysis, portfolio strategy, options, taxes, and retirement accounts. ~73% of Series 7.
Processes, Completes & Confirms Transactions
Order types, trade execution, settlement, recordkeeping, and compliance. ~11% of Series 7.
Full Series 7 Practice Exam
All four job functions mixed and weighted by the official FINRA Series 7 blueprint.
Series 63 — Uniform Securities Agent State Law Exam
Requires SIE + Series 7 · 60 questions · 75 minutes · 72% to pass
Regulation of Securities & Issuers
Registration of securities, exempt securities, exempt transactions. ~20% of Series 63.
Regulation of Persons
Registration of broker-dealers, agents, investment advisers. ~40% of Series 63.
Fraudulent & Prohibited Practices
Fraud, dishonest conduct, unethical practices, and enforcement actions. ~40% of Series 63.
Full Series 63 Practice Exam
All three sections mixed and weighted by the official NASAA Series 63 blueprint.
Series 66 — Uniform Combined State Law Exam
Requires Series 7 · 100 questions · 150 minutes · 73% to pass
Economic Factors & Business Information
Business structures, financial statements, valuation methods. ~5% of Series 66.
Investment Vehicle Characteristics
Equity, debt, pooled investments, insurance products, and alternatives. ~20% of Series 66.
Client Investment Recommendations & Strategies
Portfolio management, asset allocation, tax planning, retirement. ~30% of Series 66.
Laws, Regulations & Guidelines
Uniform Securities Act, Investment Advisers Act, fiduciary duties. ~45% of Series 66.
Full Series 66 Practice Exam
All four sections mixed and weighted by the official NASAA Series 66 blueprint.
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