How do you register for the SIE?
Registering for the SIE takes three steps: create a FINRA account, enroll and pay $100 in TESS, then book your test with Prometric. TESS is FINRA's enrollment system. Your 120-day window opens the day after FINRA processes your enrollment. You can test at a center or online. You don't need a firm or a sponsor.
- Create a FINRA accountSign up with an email address or a Google account.
- Enroll and pay $100 in TESSBy card, ACH or voucher. Use a Windows computer. No refunds.
- FINRA emails your FINRA ID when it approves the enrollment.
- Your 120-day window opensThe day after FINRA processes your enrollment.
- Book early. FINRA advises booking as far ahead as you can.
- Book with PrometricOnline or by phone. Pick a test center or an online slot.
- Test inside the 120 days. If the window runs out, you pay $100 again.
- Take the SIEBring one unexpired government ID. Arrive or check in 30 minutes early.
Have these ready before you start:
| Step | What you need |
|---|---|
| Open the account | Social Security or CRD number, date of birth, two phone numbers, home address |
| Enroll | $100 by card or ACH, or a voucher |
| Book | Your name, FINRA ID, a phone number and the exam name |
| Test day | One unexpired government ID with your photo and signature |
How to register for the SIE without a sponsor
You register yourself in TESS. No firm takes part. Anyone 18 or older can use it. Our guide to the SIE exam covers who can take it. The one exception is people a firm has already registered. They can't use TESS, so the firm enrolls them instead.
Four things save trouble at sign-up:
- Use a Windows computer. FINRA says people have had problems enrolling on Macs, phones and tablets.
- Enter your name as it appears on your ID. On test day, your ID must match the name your exam is booked under.
- Pay by card if you're in a hurry. ACH payments typically take up to 48 hours to process. Our SIE exam cost guide covers payment and vouchers.
- Keep the enrollment email. It holds your FINRA ID, and you need that number to book.
How does a firm enroll you for the SIE?
A firm can enroll you and pay the fee itself. FINRA gives firms three ways to do it:
- On your Form U4. The firm requests the SIE on the registration form it files for you in CRD, FINRA's registration system. FINRA charges the fee to the firm's Flex-Funding Account.
- Direct enrollment. The firm adds your details in CRD without a Form U4. The fee comes out of the same account. If the firm gives your email address, FINRA emails you a notice of enrollment.
- A voucher. The firm buys a voucher, and you redeem it in TESS instead of paying. You have six months from the purchase date to use it.
Already working at a firm, or holding a job offer? Ask that firm before you enroll yourself. It may enroll you and pay. FINRA doesn't refund a TESS payment.
When should you enroll for the SIE?
Enroll when you can take the exam within 120 days. The clock starts the next day. In FINRA's example, you enroll on December 31 and your window opens January 1. If you don't test in time, FINRA keeps the $100 and you enroll again. Our guide on how to study for the SIE covers when to book your date.
A retake is a new enrollment with another $100. You can enroll during your wait, and your window opens when the wait ends. The waits are 30 days, or 180 after a third fail. From January 19, 2027, they drop to 15 and 60 days.
Does your current wait end after that date? Don't book until FINRA updates your window on January 19. Already booked? FINRA can't change a window with an appointment in it. To test sooner, check for an earlier seat first, then cancel before January 19 and rebook once FINRA updates your window. Our SIE retake guide explains the change.
How to schedule the SIE exam with Prometric
Book with Prometric once your window is open, through FINRA's scheduling page or by phone at (800) 578-6273. Every SIE candidate can choose a test center or an online appointment. FINRA's other exams go online only with an approved accommodation.
- Have your FINRA ID ready. It's your CRD number, or the ID FINRA assigned when you enrolled.
- Testing online? Set up first. FINRA suggests installing Prometric's ProProctor app before you book. A work laptop may block it. Run the system check on the same computer at least a day before your test.
- Need to move your date? Contact Prometric at least 10 business days ahead to avoid a fee. Our cost guide lists the late change fees.
Test center or online: what's different
| What | Test center | Online |
|---|---|---|
| Setup | Nothing to install | ProProctor app and a camera |
| Room | Your things go in a locker | A clean desk and a 360-degree camera check |
| Arrival | 30 minutes early | Check in 30 minutes early |
| Results | On screen when you finish | Unofficial on screen, official by email within 3 business days |
FINRA's online test page lists the full setup rules.
What to bring to the SIE exam: the ID rules
Bring one valid government ID with your photo and signature, such as a driver's license, passport or military ID. At a test center, everything else goes in a locker. The ID itself must meet three rules:
- The name must match exactly. It has to be the same name your exam is booked under. Check middle names and hyphens before you book.
- It can't be expired. FINRA no longer accepts expired IDs.
- It must be the original. FINRA won't accept photocopies, faxes or digital copies. The same goes for name change documents.
SIE accommodations: how to get extra time
Request extra time after you enroll and before you book. There are two routes:
- Limited English proficiency (LEP). If English isn't your main language and your English is limited, you can get 30 extra minutes on the SIE. Use FINRA's web-based LEP Request Form, even if a firm enrolled you. FINRA replies by email within five business days.
- A disability. Send FINRA's Testing Accommodations Request Form with documentation from a qualified professional. FINRA typically replies within 10 business days. Approved accommodations are free, but you pay for your own documentation.
Extra time works online as well as at a test center. A reader or a paper exam is only offered at a test center. FINRA adds approved time to a retake within five business days. Wait for its email before you rebook.
SIE registration FAQs
How long does SIE enrollment take to process?
If TESS shows Pending FINRA Review, FINRA typically processes it within two business days. An ACH payment typically takes up to 48 hours to process.
Where do I find my FINRA ID number?
It's in the Notice of Enrollment email FINRA sends when it approves your enrollment. It's also on the My Profile page in TESS.
Can I take the SIE and the Series 7 on the same day?
Yes, if you have both windows open and a test center has seats for both. FINRA lets you book two exams on the same day, but you must make sure the appointments don't overlap. You need a firm to enroll you for the Series 7.
Can I register for the SIE without a Social Security number?
Yes. TESS asks for your mother's maiden name instead. Your test-day ID must still match your booking name exactly.
Can I take the SIE outside the US?
Yes, at a Prometric test center outside the US. FINRA says there may be extra requirements, such as a Data Processing Consent Form you sign on arrival. Check FINRA's international test center page before you book.
Related SIE guides
Sources
- FINRA, Securities Industry Essentials (SIE) Exam: self-enrollment steps, the $100 fee, vouchers, firm enrollment and the January 2027 retake change
- FINRA, Test Enrollment Services System (TESS) FAQ: opening an account (mother's maiden name if you have no SSN), who can use TESS, payment, the FINRA ID, review times and the 120-day window
- FINRA, Enroll for an Exam: the window opens the day after enrollment, Windows computers and checking with your firm
- FINRA, User Guide for Enrolling Individuals for the SIE Exam (Non-Form U4): direct firm enrollment and vouchers
- FINRA Regulatory Notice 26-18 (October 14, 2026): the two ways to enroll for the SIE, the 120-day window that begins the day after FINRA processes an enrollment, and how open enrollments and booked appointments are handled on January 19, 2027
- FINRA, Frequently Asked Questions Regarding Qualification Exam Waiting Periods: open enrollments, booked appointments and canceling before January 19, 2027
- FINRA, Schedule an Exam: booking with Prometric, what you need to book, online testing and accommodations
- FINRA, Prepare for Your Test Center Appointment: ID, arrival, late arrival and testing outside the US
- FINRA, International Test Centers Policies and Procedures: the Data Processing Consent Form for testing outside the US
- FINRA, Prepare for Your Online Test Appointment: ProProctor, check-in, ID and results
- FINRA, Online Test Delivery FAQs: the system check and extra time online
- FINRA, Reschedule or Cancel Your Appointment: the 10-business-day rule, late fees and missed windows
- FINRA, Candidates with Limited English Proficiency (LEP): how to request extra time
- FINRA, Limited English Proficiency FAQ (June 2025): 30 extra minutes on the SIE since October 16, 2023
- FINRA, Exam Candidates Requiring Testing Accommodations: the request form, review times and booking after approval
Every step and fee on this page is checked against the sources listed above. Spotted something out of date? Tell us through the contact page and we'll fix it.