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FINRA Top Off Exams


What Is A FINRA Top Off Exam?

A Top Off exam is the second of two exams required to earn a Series 6, 7, 79, and 99 license (the first exam being the Securities Industry Essentials (SIE) exam, which covers industry basics).

The Top Off exam covers deep details and concepts applicable to a specific license type. Individuals must pass both the Securities Industry Essentials exam and the respective Top Off Exam to earn the license.

Requirements For Top Off Exams

To take a Top Off exam, you:

  • Should have passed the Securities Industry Essentials exam
  • Secure sponsorship by a FINRA member firm or another self-regulatory organization
  • Choose the study format that works best for you
  • Take your appropriate Top Off exam and register your license with FINRA
Note: Most candidates choose to take the SIE before they take their Top Off exam, but you can take the Top Off exam first.

What If I Already Have A FINRA License? Am I Required To Take An SIE Or Top Off Exam?

Most individuals who are currently registered would be considered to have passed the SIE exam, and it would remain valid for four years upon leaving the industry.

Additionally, if a currently-licensed representative leaves the industry and:

  • Returns within two years, his or her registration would be regained without the need to take the SIE or Top Off exam
  • If between two and four years later, the SIE exam need not be taken again; but a Top-Off exam would be required
  • If more than four years later, both the SIE and Top-Off exam would need to be re-taken
SIE And Top-Off Training Options

While you must take both the SIE and a Top Off exam to earn your license, you can purchase your training materials for both of these exams either individually or at the same time to save you some money (we label these as 'Combo Packages').

Find Training For Your Top Off Exam

TrainingCenter offers several courses to help you study for and take your Top Off exam. Simply click on a 'Recommended Course' below, or use the search function to find your preferred method for taking your Top Off licensing exam.

Training For Your Series 7 Top Off Exam

Training For Your Series 6 Top Off ExamTop Off Exam Combo Packages

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