On October 1, 2018, FINRA® will be changing the requirements for the Series 6 exam. The Securities Industry Essentials (SIE) exam will be a co-requisite to obtaining a Series 6 registration. With the introduction of the SIE exam, we want you to prepare with the right study materials. In order to determine which exam preparation products you need, click on the choice that applies to your plans for taking your Series 6 exam.
If your sponsoring firm will open your exam window before the SIE effective date of October 1, 2018, then our current exam preparation products are right for you.
If your sponsoring firm will open your exam window after the SIE effective date of October 1, 2018, you will need to take the SIE portion of the exam, followed by the revised Series 6 qualification “top-off” exam. You can get a head start on studying for the SIE exam with our SIE exam prep materials.
If you expect to be employed or sponsored for the Series 6 exam prior to October 1, 2018, then our current exam preparation products are right for you.
Kaplan recommends you first purchase the SIE exam preparation materials, as all candidates will be required to pass the SIE exam and the revised Series 6 qualification “top-off” exam prior to becoming registered. Candidates for the SIE exam do not need to be an employee of a sponsoring firm, however will require sponsorship to take the Series 6 qualification "top-off" exam.
Our Exam Prep Guarantee
In the event you purchase a legacy Kaplan product and are unsuccessful at passing or unable to take your exam before October 1, 2018, Kaplan will provide you a Transition Guide for the corresponding SIE and Top-off exams at no charge. The Transition Guide outlines how best to prepare for the SIE or revised Top-off exams with your existing legacy study materials and is conveniently found as a link within the Exam Tips and Content Updates section or as an icon on your Student Dashboard.
If the Transition Guide does not work for you, please contact our Student Support team at 800.824.8742 or complete the contact us form to request online study materials for the new exams at no charge.