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August 20, 2023


Last updated: June 29, 2024

How to schedule The SIE Exam

By: Securities Institute Staff

Students who are preparing for the SIE exam have many questions about how to schedule the SIE exam with a FINRA approved test center. In this article we are going to detail everything you need to know in order to open your exam window and how to schedule your exam. Studying to get ready for test day is stressful enough, following these essential steps will help ensure that setting up a test date is easy and you know what to expect. 

How to Schedule an Exam with FINRA:

If you are employed by a broker dealer, your firm will submit your U4 on your behalf to open a testing window for you. If you are taking the exam prior to being employed with a broker dealer, scheduling the SIE Exam involves several steps to ensure a smooth testing experience:

  1. Create an Account: To schedule the SIE Exam, candidates must first create an account on FINRA’s Test Enrollment Services System (TESS) website. This account will serve as the portal for managing exam appointments.
  1. Select a Test Center: After creating an account, candidates can choose a convenient test center location from the available options. The TESS website provides a list of test centers along with their addresses and available dates.
  1. Choose an Exam Date: Once a test center is selected, candidates can browse the available exam dates and times. It is advisable to choose a date that aligns with personal readiness and preparation.
  1. Pay Exam Fee: Candidates will need to pay the required exam fee at the time of scheduling. The fee covers the cost of administering the exam.
  1. Receive Confirmation: Upon successful scheduling and payment, candidates will receive a confirmation email containing important details about the exam, including the test center address, date, and time.
  1. Prepare and Take the Exam: With the exam appointment scheduled, candidates should focus on thorough preparation. Read your textbook fully and completely. There are no shortcuts to passing the exam. Watch each video that corresponds to each chapter in your textbook. The videos give you more details about the reading and tell you how the topics will be tested on exam day. Take as many practice exams as you can. Be sure to spend extra time going over the areas where you are having difficulty. Reread the key points in the chapters, go over your notes and rewatch the videos.
  1. Bring a Valid State issued ID: At the exam center you will be required to show proof of identification. A state issued driver’s license,  a state issued photo identification card or a passport are all acceptable forms of identification. Make sure you check the expiration date of your photo ID. If your driver’s license or passport has expired it will not be accepted and you will not be allowed to take the exam.  Most test centers will also require a thumbprint to further ensure your identity. 

The SIE training program provided by The Securities Institute is designed to guide you through the entire exam preparation process. We have done all of the work so you do not have to. Our exam plan study calendar uses a proprietary algorithm to assign each learning objective based on the days and hours each day you want to study. You will know when to read every chapter, watch every video and when to take each test. Best of all you will receive emails each day you have assignments to complete to keep you on track. 

We hope that this article has helped you understand how to open your FINRA exam window and  schedule your SIE Exam Pass your SIE exam or your money back with our greenlight pass guarantee. Rview our SIE Study Materials to learn more.

Good Luck on your Exam

The Securities Institute of America, Inc. 

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