The FINRA Series 7 exam, also known as the General Securities Representative Qualification Examination, ensures you possess the knowledge to perform the critical functions of a general securities representative. These functions include the sales of corporate securities, municipal securities, investment company securities, variable annuities, direct participation programs, options, and government securities. You must also pass the Securities Industry Essentials (SIE) exam to obtain your Series 7 license. The SIE exam assesses your knowledge of basic securities information and evaluates your grasp of foundational concepts essential for navigating the industry.
Kaplan offers combination study packages for the SIE and Series 7 exams, saving you time and money. Our exam prep packages provide all the necessary tools you need to prepare for your SIE and qualification exams. Our up-to-date study materials are designed to help you learn the material quickly and easily so you can pass your exams the first time. Explore our study packages below and choose the option that works best for your budget, schedule, and unique learning style.
You also get our full suite of exam prep study tools, including a Study Plan detailing your daily tasks, multiple practice quizzes and exams, Performance Tracker to gauge your progress, a robust question bank, and our License Exam Manual covering all the topics you need to know to earn your license.
The Premium Instruction Package includes the following instructor-led class options:
Live Online Class Experience the same instructor interaction and support as a traditional live class with the convenience of online study. Prepare with a scheduled live class online, and then have access to an archived version of the class to review anytime, anywhere.
OnDemand Class Learn from expert instructors with in-depth videos covering the major topics of the qualification exam. Our OnDemand class allows you to prepare at recommended times during your study program. You are given access to review classes at any time and as often as you like.
*Online
As you prepare for exam day, the Exam Tips and Content Updates will be your source for changes in regulations and rules. Our team of content experts will keep you up-to-date on the most current changes and study strategies related to your qualification exam.
*Online
The Practice Exam is designed to closely replicate the true exam experience in terms of the degree of difficulty, timing, format, and topical coverage. This exam can be taken only once and provides unique practice questions that you haven’t seen at this point in your studies. The Practice Exam is a sound indicator of how you will perform on your actual qualification exam. It allows you to see areas of strength and weakness on your Performance Tracker without answers and rationales for every question.
*Online
Practice your test-taking skills, drill into specific topics, and test your knowledge with exam-focused questions. This interactive QBank is updated on a regular basis and allows you to build personalized exams based on length and topic of your choice. It features unlimited exam attempts that are randomly generated. The QBank also gives you the ability to:
*Online
Keep tabs on how well you are progressing on your exam prep. This handy reporting tool helps you understand what areas you’re doing well in and what areas need some work before exam day.
*Print and PDF
Give structure to your class with these spiral-bound books that complement your instructor’s lessons. They highlight important exam topics and include the key points addressed in your classes. These notes, grouped by lesson, allow you to focus on the instructor and give you an organized review after class has ended.
*Online
The Checkpoint Exams, located at the end of each unit in your License Exam Manual, are designed to gauge your comprehension of the material. These exams can be taken only once and feature unique questions, as well as answers and detailed rationales.
Take the guesswork out of your studying with strategically placed weekly tasks in your study plan within the learning management system.
*Online
The Mastery Exam is similar to the Practice Exam and provides an additional simulated exam with unique questions.
*InstructorLink™
Connect with a Kaplan instructor for personal assistance anytime as you prepare for the exam. With this online resource, you can communicate directly with securities content experts and get your questions answered within two business days.
*Online
Intro videos give you a head start on each unit by previewing key concepts and identifying areas where you might need to focus extra attention. End each unit with wrap-up videos that solidify your understanding, reinforce crucial information, and get you ready to excel on your checkpoint exams. These videos are your key to efficient learning.
*Online or Print, and PDF
This is the foundation of your qualification exam preparation. It contains everything you need to know for the exam, broken down into easily digestible units. Kaplan’s team of experts builds the content with a focus on the most recent rules and regulations. Units contain key topics and terms, multiple graphics, exercises, quizzes, and discussion questions to help you learn faster and remember important information as you prepare for your exam.
*Online
The Midterm Exam is a cumulative exam designed to test your comprehensive knowledge at the midpoint of your exam preparation. This exam can be taken only once and provides answers and detailed rationales for each question. This exam simulates the actual exam and features questions you haven’t seen in your studies thus far.
What It Includes | Premium Package | Essential Self-Study Package | Basic Self-Study Package |
|---|---|---|---|
Instruction | |||
The Premium Instruction Package includes the following instructor-led class options: Live Online Class Experience the same instructor interaction and support as a traditional live class with the convenience of online study. Prepare with a scheduled live class online, and then have access to an archived version of the class to review anytime, anywhere. OnDemand Class Learn from expert instructors with in-depth videos covering the major topics of the qualification exam. Our OnDemand class allows you to prepare at recommended times during your study program. You are given access to review classes at any time and as often as you like. | |||
Review Tools | |||
Online As you prepare for exam day, the Exam Tips and Content Updates will be your source for changes in regulations and rules. Our team of content experts will keep you up-to-date on the most current changes and study strategies related to your qualification exam. | |||
Online The Mastery Exam is similar to the Practice Exam and provides an additional simulated exam with unique questions. | |||
Assessment Tools | |||
Online The Practice Exam is designed to closely replicate the true exam experience in terms of the degree of difficulty, timing, format, and topical coverage. This exam can be taken only once and provides unique practice questions that you haven’t seen at this point in your studies. The Practice Exam is a sound indicator of how you will perform on your actual qualification exam. It allows you to see areas of strength and weakness on your Performance Tracker without answers and rationales for every question. | |||
Online Keep tabs on how well you are progressing on your exam prep. This handy reporting tool helps you understand what areas you’re doing well in and what areas need some work before exam day. | |||
Online The Checkpoint Exams, located at the end of each unit in your License Exam Manual, are designed to gauge your comprehension of the material. These exams can be taken only once and feature unique questions, as well as answers and detailed rationales. | |||
Online The Midterm Exam is a cumulative exam designed to test your comprehensive knowledge at the midpoint of your exam preparation. This exam can be taken only once and provides answers and detailed rationales for each question. This exam simulates the actual exam and features questions you haven’t seen in your studies thus far. | |||
Study Tools | |||
Online and Download Practice your test-taking skills, drill into specific topics, and test your knowledge with exam-focused questions. This interactive QBank is updated regularly and allows you to build personalized exams based on length and topic of your choice. It features unlimited exam attempts that are randomly generated. The QBank also gives you the ability to:
| |||
Print and PDF Give structure to your class with these spiral-bound books that complement your instructor’s lessons. They highlight important exam topics and include the key points addressed in your classes. These notes, grouped by lesson, allow you to focus on the instructor and give you an organized review after class has ended. | |||
Take the guesswork out of your studying with strategically placed weekly tasks in your study plan within the learning management system. | |||
Connect with a Kaplan instructor for personal assistance anytime as you prepare for the exam. With this online resource, you can communicate directly with securities content experts and get your questions answered within two business days. | |||
Online Intro videos give you a head start on each unit by previewing key concepts and identifying areas where you might need to focus extra attention. End each unit with wrap-up videos that solidify your understanding, reinforce crucial information, and get you ready to excel on your checkpoint exams. These videos are your key to efficient learning. | |||
Print and PDF This comprehensive text is the foundation of your qualification exam preparation. It contains everything you need to know for the exam, broken down into easily digestible units. Kaplan’s team of experts builds the content with a focus on the latest rules and regulations. Units contain key topics and terms, multiple graphics, exercises, quizzes, and discussion questions to help you learn faster and remember important information as you prepare for your exam. | |||
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SIE®, Securities Industry Essentials®, and FINRA® are registered trademarks of the Financial Industry Regulatory Authority, Inc., which is not affiliated with Kaplan and was not involved in the production of, and does not endorse, this website or product.
All other organizational names, test names and acronyms are trademarks or registered trademarks of their respective owners.
Source: Investopedia. Best SIE Exam Prep Courses for February 2025: https://www.investopedia.com/the-best-sie-exam-prep-courses-11688253. Investopedia is a review and analytics site that is a Kaplan affiliate but uses an independent review process to evaluate exam prep products.
