FINRA Exams with the Highest Pass Rates
- April 1, 2025
- Posted by: 'FINRA Exam Mastery'
- Category: Finance
🎯 FINRA Exams with the Highest Pass Rates
Easiest Exams by Industry Standards – And Why They’re Still Worth Preparing For
Not all FINRA-administered exams are equally difficult. Some have higher pass rates, making them popular entry points into the securities industry. However, even these “easier” exams demand serious preparation.
Here’s a breakdown of FINRA qualification exams with the highest estimated pass rates and what you should know about each.
📊 Top FINRA Exams by Estimated Pass Rate
| Exam | Common Role | Estimated Pass Rate | Time Limit |
|---|---|---|---|
| SIE | Entry-level rep (prerequisite for Series 6/7) | 74–80% | 105 minutes |
| Series 6 | Mutual funds, variable annuities rep | 60–70% | 90 minutes |
| Series 63 | State law exam for broker-dealer agents | 70–75% | 75 minutes |
| Series 22 | Direct participation program rep | 75–80% | 165 minutes |
| Series 99 | Operations professional | 80–85% | 135 minutes |
🚨 Note: FINRA no longer publicly releases official pass rate data, so these are based on industry surveys and prep providers.
🧠 Why These Exams Are More Passable
- Shorter and more focused content than Series 7 or 24
- Less emphasis on advanced calculations or trading scenarios
- Often targeted toward narrow roles like mutual fund reps or compliance assistants
- Many test basic industry knowledge, ethics, and registration rules
⚠️ But Don’t Be Overconfident
High pass rate ≠ low difficulty. Candidates still fail due to:
- Underestimating the content
- Cramming instead of planning
- Ignoring practice exams and diagnostic quizzes
Even for the SIE and Series 6, structured study time (30–80 hours) is highly recommended.
🎯 Tip: Match Your Exam to Your Career Path
| Career Goal | Start With |
|---|---|
| Entry into the industry | SIE |
| Sell mutual funds/annuities | SIE + Series 6 + 63 |
| Trade stocks and options | SIE + Series 7 + 63 |
| Become an investment adviser | Series 65 or 66 |
| Support operations/compliance roles | Series 99 |
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