★ 100% FREE • 34 CHAPTERS • 155 INTERACTIVE LESSONS

Securities Licensing Study Guides

Complete, authoritative curricula aligned with official FINRA and NASAA blueprints. Each lesson includes key exam takeaways, comparison tables, common traps, and interactive checkpoints.

STEP 1 • PREREQUISITE

FINRA SIE Exam

Securities Industry Essentials

The entry-level benchmark exam. Open to anyone age 18+ with no broker-dealer sponsorship required. Master capital market structure, debt securities, equity basics, and FINRA conduct rules.

Curriculum: 5 Ch • 47 Lessons

Format: 75 Qs (1h 45m)

Passing: 70%

Study Time: ~40-60 hrs

✓ No Firm Sponsorship Needed • Valid for 4 Years

Explore FINRA SIE Exam Guide Start Reading Chapter 1

STEP 2 • FLAGSHIP CORE

FINRA Series 7

General Securities Representative

The premier credential for retail brokers, wealth managers, and registered reps. Deep dive into options trading, municipal debt, margin mechanics, Reg BI, and customer suitability.

Curriculum: 13 Ch • 61 Lessons

Format: 125 Qs (3h 45m)

Passing: 72%

Study Time: ~80-120 hrs

✓ Function 3 (73% of Exam) • Includes T+1 Settlement

Explore FINRA Series 7 Guide Start Reading Chapter 1

STEP 3 • STATE BLUE SKY

NASAA Series 66

Uniform Combined State Law

Combines the Series 63 and Series 65 into a single exam. Qualifies you to act as both a securities agent and an investment adviser representative (IAR) charging advisory and AUM fees.

Curriculum: 16 Ch • 47 Lessons

Format: 100 Qs (2h 30m)

Passing: 73%

Study Time: ~50-70 hrs

✓ 45% State & Federal Regulations • Fiduciary Ethics

Explore NASAA Series 66 Guide Start Reading Chapter 1

The 3-Step Securities Licensing Pathway

How top firms structure licensing for financial advisors, analysts, and wealth managers:

FINRA SIE

Establish foundational industry knowledge. Anyone can take it immediately. Unlocks hiring potential at top wirehouses and boutiques.

FINRA Series 7

Upon firm hire and Form U4 sponsorship, pass the Series 7 top-off exam to trade equities, bonds, munis, and complex options.

NASAA Series 66

Pass the uniform state law exam to become dual-licensed: charge transactional commissions as an agent and ongoing advisory fees as an IAR.

Why OpenExamHub Study Guides Are Better

See how our free interactive platform compares against standard web guides:

Feature	OpenExamHub	Competitor (Open Exam Prep)	Commercial Prep (Kaplan/PassPerfect)
Interactive Checkpoint on Every Lesson	✓ Yes (Instant feedback + Autopsies)	✗ No (Static text only)	Limited / paywalled quiz bank
Cost & Access	100% Free • No Login Required	Partial free / Clerk login upsell	$150 - $400 per exam
2026 T+1 Settlement & Reg BI	✓ Fully Updated	Partially updated	✓ Updated
Sticky Accordion Curriculum Sidebar	✓ Responsive Drawer + Instant Navigation	Basic sidebar	Clunky legacy LMS
Full-Length Practice Simulators	✓ Included Free (125Q Series 7)	Paywalled behind account	Included with purchase