Enrollment
Who can take the SIE and how enrollment works
Separate open SIE eligibility from the sponsorship required for representative-level qualification exams.
You can take SIE without firm sponsorship
FINRA permits individuals age 18 or older to enroll for the SIE without being associated with a member firm. That makes it different from representative-level qualification exams, which generally require association and sponsorship.
Choose the right enrollment route
If you already work with a broker-dealer or investment adviser, FINRA advises consulting your firm before self-enrolling. A firm may need to submit enrollment through Form U4. Independent candidates can use FINRA's enrollment path.
Plan the scheduling window
Enrollment and scheduling are separate steps. Read the current FINRA and testing-provider instructions for the window, identification, testing mode, accommodations, cancellation and rescheduling rules.
Use your exact identity
Enter your legal identifying information consistently. Resolve differences before test day rather than assuming the test center can correct them.
Official sources
Confirm current fees, enrollment, accommodations, provider instructions and registration requirements before acting.