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Series 7 and 63 Exam Details

Series 7 Exam Details

The FINRA® Series revised 7, General Securities Representative Qualification Exam, is required of individuals soliciting the purchase or sale of corporate, municipal and U.S. government securities, options, direct participation programs, investment company products, and variable contracts.


Exam Restructuring

On October 1, 2018, FINRA restructured the Series 7 exam. New candidates are required to pass the Securities Industry Essential (SIE) exam along with a Series 7 exam to obtain the General Securities Representative Qualification registration. Kaplan has study materials available for the SIE exam as well as the Series 7 exam


SIE Exam

125 multiple-choice questions

3 hours, 45 minutes

Outline of Topics Covered

  • Seeks business for the broker-dealer from customers and potential customers
  • Opens accounts after obtaining and evaluating customers’ financial profile and investment objectives
  • Provides customers with information about investments, makes suitable recommendations, transfers assets, and maintains appropriate records
  • Obtains and verifies customers’ purchase and sales instructions; processes, completes, and confirms transactions


Additional Details

For more exam details, including fees and passing score, please visit FINRA.


Series 63 Exam Details

The NASAA Series 63, Uniform Securities State Law Exam is required of individuals soliciting the purchase or sale of securities within a state. The exam may be required in addition to other exams.



60 multiple-choice questions

1 hour, 15 minutes

Outline of Topics Covered

  • State Securities Acts and related rules and regulations
  • Ethical practices and fiduciary obligations


Additional Details

For more exam details, including fees and passing score, please visit FINRA.


Best Practices Guide

Kaplan has prepared a Best Practices Guide to help you pass the first time! This guide includes recommended study hours, how to use your study materials effectively, and test-taking tips. Access the guide and other free materials here.



Get Started

We outlined the steps you need to take to earn the Series 7 and 63 licenses. Get started by learning more about how to get your Series 7 qualification.

Learn More

Begin Preparing for the Series 7 and 63 Exams

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Live and Online Options

Our most comprehensive study package, the Premium Package, has everything you need to effectively prepare for your qualification exam, including guidance from an experienced instructor.

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Self-Study Option

The Essential Self-Study Package gives you the flexibility of studying on your schedule. Planning your exam preparation is made simple with our customizable Study Calendar that schedules daily tasks based on your study time frame and exam date.

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Self-Study Option

The Basic Self-Study Package provides a strong foundation for the self-directed individual who has a proven record of success when studying without the guidance of an instructor. Plan your exam preparation with a customizable Study Calendar based on your schedule and exam date.