FINRA Series Practice Test
Your Proven Shortcut to FINRA Series Success
Get exam-style questions, detailed explanations, and realistic timing to master the latest Financial Industry Regulatory Authority (FINRA). Prepare FINRA Series practice test then walk into your Finance, Insurance and Real Est exam with confidence.
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How Our Practice Exam Works?
Study wherever, whenever with these quiz practice questions for FINRA Series:
Pick a Mode
You can choose Study Mode for course preparation and Exam Mode (timed 90-minute) for simulation.
Realistic Mix
FINRA Series exam questions reflect both multiple-choice and scenario/performance-style prompts aligned to exam objectives.
Detailed Explanations
Every question includes a clear explanation, so you know why an answer is correct.
Domain Analytics
See strengths/weaknesses by the domains & sub-topics to focus your revision.
Reattempts
Retake FINRA Series practice exam to improve your speed and accuracy; watch your score trend toward the benchmark.
Exam Simulator
Get a feel for the real exam with our Financial Industry Regulatory Authority (FINRA) practice test.
Why Choose PrepHOW for FINRA Series Practice Questions
Train the way you'll be tested. With the most clinically accurate, expertly written question bank, you’ll build the speed, accuracy, and confidence needed to pass the FINRA Series on your first attempt.
- 1. Practice & Exam modes to switch between learning and testing
- 2. Detailed answer explanations for every question
- 3. Instant scoring & feedback to show what you missed and why
- 4. Smart dashboard to track strengths, weaknesses, and progress
- 5. Study anywhere with mobile-friendly design
- 6. Updated FINRA Series questions bank to match the latest exam changes
- 7. Free practice test to start - no credit card required
Real Exam Feel
Mock Exam/Study modes, question flagging, and instant or end-of-exam feedback.
Smarter Analytics, Faster Improvement
Trend charts so you can see when you're consistently above the passing scrore.
Quality You Can Trust
Clear, teach-back explanations with why the correct answer is right and why others aren't.
Frequently Asked Questions
What is a FINRA Series Exam and why are they required?
FINRA Series Exams are professional qualification examinations administered by the Financial Industry Regulatory Authority (FINRA). These exams are required for individuals who wish to become registered representatives or principals engaging in the securities business. The purpose of these exams is to ensure that securities professionals demonstrate a minimum level of competence, knowledge, and expertise in their respective fields to protect the investing public.
What is the difference between the Series 6 and the Series 7?
- Series 6 (Investment Company and Variable Contracts Products Representative): Licenses an individual to sell packaged investment products like mutual funds, variable annuities, and unit investment trusts (UITs). It is more limited in scope.
- Series 7 (General Securities Representative): This is the core, comprehensive license. It allows professionals to sell almost every type of individual security, including stocks, bonds, options, mutual funds, and other direct investments.
What is the difference between the Series 63, Series 65, and Series 66?
- Series 63 (Uniform Securities Agent State Law): Focuses on state-level securities regulations and ethical practices. It's often taken alongside the Series 6 or 7.
- Series 65 (Uniform Investment Adviser Law): Qualifies an individual to act as an Investment Adviser Representative (IAR) and provide fee-based financial advice. It covers broader topics like ethics, portfolio management, and financial analysis.
- Series 66 (Uniform Combined State Law): Combines the subjects of the Series 63 and Series 65 into a single exam. It is typically taken with the Series 7 to allow someone to both sell securities and act as an IAR.
What is the format of the exam?
All FINRA Series Exams are administered electronically at Prometric testing centers. They are multiple-choice, closed-book tests. The number of questions and time limits vary:
- Series 7: 125 questions, 3 hours 45 minutes.
- Series 6: 50 questions, 1 hour 30 minutes.
- Series 63: 60 questions, 1 hour 15 minutes.
- Series 65: 130 questions, 3 hours. Series 66: 100 questions, 2 hours 30 minutes.
How difficult are the FINRA Series Exams?
The exams are known to be challenging, with pass rates typically ranging from 60% to 75% depending on the specific test. They require significant study and a deep understanding of complex financial concepts, regulations, and products. Success depends on a disciplined study plan and quality preparation materials.
How do I register and qualify for a FINRA exam?
You cannot register for a FINRA exam on your own. You must be sponsored by a FINRA-member firm or a qualifying self-regulatory organization (SRO). Your employer will file the necessary application (Form U4) and then you can schedule your exam through Prometric, the official testing provider.
How should I prepare for a FINRA Series exam? What are best practices?
Good preparation includes studying the official content outline, taking Prephow FINRA Series practice tests that mimic real exam conditions, understanding regulatory frameworks, and allowing sufficient time for review depending on your background. For example, one preparation guide for Series 7 recommends 80-150 hours of study if you don’t already have a financial background.
How long is a pass valid for? Do I ever need to retake it if I stay registered?
The license you earn by passing the exam remains valid as long as you stay registered and comply with continuing education and supervision rules. If you leave the industry or let registration lapse, you may have to retake the exam or meet other requirements.
Are my FINRA licenses permanent?
Your licenses are not permanent. They must be maintained by:
- Staying Registered: You must remain employed with a sponsoring FINRA-member firm. If you leave the industry for more than two years, your licenses expire.
- Completing Continuing Education (CE): All registered representatives must complete a Regulatory Element training program every three years to stay current on rules and regulations.