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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 The FINRA Series 6 Top Off Exam And The Series 7 Top Off Exam

To take a FINRA Top Off exam, you:
  • Should already 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.

FINRA exam qualifications include being employed or associated with a FINRA member firm or association. Exceptions to this rule arise if you want to take the Series 63, 65 or 66 exam, or you have an application pending in a state that requires you to qualify by examination.

If one of these exceptions applies to you, you can register to take a FINRA exam by submitting a Form U10 to FINRA. Once you schedule an exam, you'll receive a confirmation email, including the test center location and security requirement. FINRA exam registration involves locating your test group and clicking enroll on FINRA's registration page.

What If I Already Have A FINRA License? Am I Required To Take A Series 6 Or Series 7 Top Off Exam Or The SIE?

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'). Either way, we offer the Series Top-Off review courses and exam prep materials you need!

Training For Your Series 6 Top Off Exam Or Your Series 7 Top Off Exam

TrainingCenter offers several options to help you study for and take your Series 6 Top Off exam or your Series 7 Top Off exam. All options include numerous Series 6 or Series 7 Top Off practice exam questions to help make taking your exam easier. To find you desired training, simply click on a 'Recommended Course' below or use the search function to find your preferred method for taking your Top Off licensing exam.

For FINRA Series 6 Top Off Courses And Study MaterialsFor FINRA Series 7 Top Off Courses And Study MaterialsGood luck passing your Top Off exam!

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About The FINRA Top Off Exam

What Is the FINRA Exam?

Securities professionals must pass qualifying exams administered by FINRA, the Financial Industry Regulatory Authority, before they can work in particular lines of authority or securities sectors. These exams cover a broad range of subjects on the securities industry and its structure, including knowledge of FINRA rules.

Besides FINRA principal-level exams, there is also the Securities Industry Essentials Exam, or the SIE, and several FINRA representative-level exams. With 75 questions, the SIE exam lasts for 1 hour and 45 minutes. There are many reasons to prioritize the FINRA exam, including:
  • You want to become an MSRB principal or representative
  • You want to become a securities industry professional and are required by a state regulator to take an exam
  • You want to become licensed by a state regulator to work with investors
  • You are in the process of applying for NFA membership
About Our FINRA Top Off Exam Training Options

At AB Training Center you will find a broad range of course offerings and products that will help you stay on track as you prepare for your FINRA Top Off exam.

We offer several convenient options that make it easy to understand and memorize exam materials with a structure and pace that works best for your needs. Here are three of the Top Off exam materials and services we offer.
  • FINRA Top-Off Training Seminars

    Many students thrive in a live learning environment where they can bounce ideas off of other emerging financial professionals and make the most of their study time with dedicated learning sessions. Our in-person seminars offer this encouraging environment.

    Instructors from well-known training providers such as Kaplan Financial walk you through a range of self-study materials and help you understand and master difficult concepts. This expert instruction often motivates students who find it helpful to review with a live professional right before taking their exam.

    We offer seminars in cities across the entire country, making it as convenient as possible to find a live classroom course in a location near you.
  • FINRA Top-Off Training Webinars

    Just as some students thrive in the presence of live instructors and peers, others feel more at ease taking lessons from home. If you want to prepare for your Series Top Off exam but aren't able to come to a live seminar, we offer webcasts that bring our experts' knowledge to your computer.

    You can choose from live webcasts or recorded webinars you can access at your convenience. Live webinars offer you the opportunity to ask questions in real time, while OnDemand classes allow you to view your courses anytime and anywhere. If you enroll in a live webinar, you can still enjoy OnDemand playback of your sessions as you prepare for your Top Off exam.
  • Online and Printed Top Off Exam Materials

    As well as our instructor-led options, we offer materials that allow you to study entirely on your own time. You'll find test materials from large firms that have helped hundreds of students like you enjoy success on their Series Top Off exams.

    Our self-study courses feature both online and printed components, so you can choose the materials that best match your learning style. Online materials include a convenient combination of video tools, a blog of exam tips, test alert notifications and more, while the printed manual offers a comprehensive overview of all aspects of your exam.

Contact AB Training Center to Request Your Top Off Exam Materials

Since 1994, AB Training Center has provided financial professionals like you with the training they need for ongoing success in the industry. We're proud to offer a full range of support services to help you prepare for your FINRA Top Off exams.

Contact us today for more information about our exam materials, or find your perfect course or training guide using our search tool.

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