Definition of Series 11 Exam

Series 11 exam is the Assistant Representative in Order Processing exam, or the Series 11 exam, is designed and administered by FINRA. This exam is for individuals who are associated with a member who accepts unsolicited customer order for submission. These individuals cannot accept orders for municipal securities or direct participation programs.

Topics for the Series 11 exam include:

  • Equity, Debt and Other Types of Securities
  • Customer Accounts and Orders
  • Securities Markets
  • Regulations

The Series 11 exam is a 50 question, multiple-choice test that must be completed within 1 hour. Cost for this exam is $75.00. Please note that this cost only represents the registration fee for the Series 11 exam. There will most likely be other fees involved with scheduling, scoring or study.

Applying "Series 11 Exam" to Securities Exams:

Candidates should be aware that there are no prerequisites for the Series 11 exam.

The Series 11 exam, like all FINRA exams, can be taken at any Pearson Vue testing center. Pearson Vue has testing centers in most large and medium sized cities throughout the country and is open six day a week, making it a nice choice for candidates. This exam is available year round.

Potential candidates for this exam should note that while the exam is available year round, it cannot be taken on Sundays. This fact should be kept in mind when you are scheduling your exam and choosing your testing locations.

FINRA retired the series 11 exam on October 1, 2018. after this date canadiates will be required to complete the SIE exam and series 7 top off exam to become registered.

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