Free Securities Exam Podcast (2026): SIE, Series 7, 63, 65, 66 Audio Study Guide

Study for Your Securities Exam Anywhere, Anytime

Preparing for the SIE, Series 7, or other FINRA exams? Turn your commute, gym session, or daily walk into productive study time with the free Open Exam Prep Securities Podcast.

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Why Audio Learning Works for Securities Exams

Maximize Your Study Time

Choose listening time that fits your own routine. The durations below are illustrative planning examples, not measured candidate averages or a promise of additional study time. Avoid distractions while driving or doing any activity that requires your attention.

Do not add these examples as a universal weekly or monthly total: activities can overlap and not every person has the same routine. Listening complements focused practice; it does not guarantee learning or a passing result.

Reinforce What You Read

The podcast works best alongside active study:

1. Read a concept in your study materials
2. Listen to the podcast episode covering that topic
3. Practice with our free SIE practice questions
4. Ask AI to explain anything that's still unclear

This sequence is an independent study suggestion. Check understanding with practice questions rather than assuming that listening alone demonstrates mastery.

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What the Podcast Covers

SIE Exam Topics

• Types of securities (stocks, bonds, options, mutual funds)
• Market structure and participants
• Customer accounts and compliance
• Economic factors affecting securities

Series 7 Topics

• Equity securities and corporate bonds
• Municipal securities and government bonds
• Options strategies and suitability
• Retirement plans and tax implications

Series 63/65/66 Topics

• State securities regulations
• Fiduciary duty and ethics
• Investment adviser rules
• Prohibited practices

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How to Use the Podcast Effectively

The 3-Step Study Method

Step 1: Preview Before Listening

Before your commute, spend 5 minutes reviewing the topic in your study guide. Use this preview to choose what to listen for.

Step 2: Active Listening

While listening, mentally quiz yourself. When the host mentions a concept, try to recall the definition before they explain it.

Step 3: Reinforce with Practice

After listening, take 10-15 practice questions on that topic. Use your answers to identify what still needs review.

Sample Weekly Schedule

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Free Practice Questions to Pair with the Podcast

Don't just listen—practice applying what you learn. All free, no signup required:

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Where to Listen

The local Open Exam Prep podcast registry links these listening options. Check each platform’s current access requirements:

• Spotify - Listen on Spotify
• Apple Podcasts - Listen on Apple Podcasts
• YouTube - Watch on YouTube

Subscribe to get notified when new episodes drop.

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Stuck on a Concept? Ask Our AI Tutor

Heard something in the podcast you don't understand? Our AI tutor can help explain securities concepts. Check the current free allowance and access requirements shown on the site; generated explanations should be checked against primary sources.

Try asking:

• "Explain the difference between Series 63 and Series 65"
• "What are the main types of municipal bonds?"
• "How do call options work?"

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Start Your Free Study Plan Today

1. Subscribe to the podcast on Spotify or Apple Podcasts
2. Take practice questions on your target exam
3. Use the AI tutor when you get stuck

All free. No credit card. No signup required for practice questions.

Start Free SIE Practice →Free exam prep with practice questions & AI tutor

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SIE Format, Sections and Scoring

The SIE has 80 items: 75 scored questions and 5 unscored pretest questions that are mixed in and not identified. You have 105 minutes (1 hour 45 minutes). FINRA's passing score is a scaled score of 70, and FINRA adjusts scores across exam forms, so it publishes no fixed number of correct answers. The fee is $100, and a passing result is valid for four years.

FINRA's content outline splits the scored questions across four sections:

Use the weights to plan your time, but do not ignore small sections: a 9% section still carries 7 scored questions, so review all four sections rather than assuming a smaller section can be ignored.

SIE and Series 7 Scoring Compared

The SIE is 80 items (75 scored plus 5 unscored) with a passing score of 70 and 105 minutes. The Series 7 is 130 items (125 scored plus 5 unscored) with a passing score of 72 and 225 minutes. Both passing scores are scaled, so neither is a percentage of questions. FINRA publishes no fixed number correct for either exam.

The Series 7 outline weights its four functions at 7%, 9%, 73% and 11%. Function 3, which covers providing information about investments, making recommendations, transferring assets and keeping records, is the largest share of the exam. The SIE is a corequisite for the Series 7, so you can pass them in either order, but you must pass both.

Retake Waits

For a specific FINRA exam, failed attempts are counted within two years: current waits are 30 days after the first and second failures and 180 days after the third and later failures. Regulatory Notice 26-18 changes them to 15/15/60 days effective January 19, 2027. Existing enrollment windows and already scheduled appointments have transition rules; check FINRA before changing an appointment. NASAA's Series 63/65/66 waits follow separate rules.

Using Audio Study for the Exam

Audio works well for definitions, rule summaries and the order of a process, and less well for tables, formulas and dense rule text. Use audio during commutes to review what you already studied, and use a written outline or a practice set for the sections that depend on exact wording. After each listening session, answer a few practice questions on the same topic, because recognizing a term when you hear it is not the same as applying it in a scenario.

A Study Plan Built from the Outline

Start with the outline weights, not with the chapter order of a book. Mark each topic you already use at work, then spend most of your time on the largest sections and the topics you have never seen. Use short mixed practice sets once you have covered each section, because the exam does not announce which topic each question tests.

Review every wrong answer. Write one sentence on why the correct answer is right and one on why the closest wrong answer fails. This review method is a planning suggestion for connecting explanations to scenarios, not a measured claim about score improvement. Finish with timed, full-length practice so the pace feels normal on exam day.

Before each listening block, write the exam facts you are studying on one card: the number of items, the time limit and the passing standard. Check those facts against the official exam page, because they change when FINRA or NASAA updates an exam, and an audio episode recorded earlier may not reflect the change.

A steady routine beats long, irregular sessions. Pick two or three short listening blocks each week, pair each block with a practice set, and keep a running list of the terms you still cannot define without notes. Revisit that list at the start of each week, so the audio you hear next builds on what you already know.

Confirm Current Details

Exam format, fees and retake rules change. Before you schedule, check the current exam page and candidate materials on the FINRA or NASAA site linked in this guide. Use this article as a study plan, not as the source of official rules.