SEC Certified Investment Solicitor (CIS) exam-day guide
SEC Certified Investment Solicitor (CIS) · Prepare for the day ahead.
Your checklist
Admission / confirmation document
Bring the admission ticket or confirmation email the provider issued for your appointment, printed or downloaded offline. The exact format and whether printing is required varies by test-centre or remote-proctoring setup - confirm with the provider.
Government-issued photo ID
The name on your ID must match the name on your registration. Acceptable ID types and any secondary-ID requirement are set by the provider - confirm with the provider which documents are accepted at your location.
Know your exact appointment time and address
Note the reporting time (usually earlier than the start time) and the full street address or remote-session link. Arrival cut-off and late-entry rules are provider-specific - confirm with the provider.
Permitted calculator
Check which calculator models the provider allows and whether on-screen calculators are provided. Do not assume your usual financial calculator is permitted - confirm with the provider.
Writing materials policy
Some centres supply scratch paper and pen and prohibit bringing your own; others allow specified items. Confirm with the provider what you may bring, and note that scratch paper is usually collected at the end.
Personal items storage plan
Phones, watches, bags and notes are normally banned from the testing room and must be stored. Storage arrangements and whether a locker is provided vary - confirm with the provider.
Remote-session setup (if applicable)
If sitting remotely, test your camera, microphone, browser and internet connection in advance, and clear your desk and room of prohibited items. Software requirements and room-scan rules are provider-specific - confirm with the provider.
Review the published exam structure
Re-read the official outline for section weightings, question format and time allocation so you can pace yourself. Do not rely on rumour about question counts - confirm with the provider's current syllabus.
Know the scoring and result policy
Understand the pass mark, whether wrong answers are penalised, and when and how results are released. These details change and are provider-specific - confirm with the provider.
Plan travel and a buffer
For in-person sittings, plan to arrive with spare time for check-in, ID verification and security screening. Traffic, parking and public-transport delays are the most common cause of missed exams.
Rest, food and hydration
Sleep, eat a normal meal and bring water only if the provider permits it in the room. Do not try to learn new material in the final hours.
Accessibility or special arrangements
If you need extra time, a separate room or other accommodation, confirm that your approved arrangement is recorded for this appointment. Deadlines for requesting accommodations are set by the provider - confirm with the provider.
Plan the day
Stop expanding your syllabus. Consolidate: re-read your own summary sheets, redo the questions you previously got wrong, and rehearse the calculation types you are least confident about. Confirm your appointment details, ID validity and travel plan. Check the provider's current candidate handbook for any last-minute rule changes.
Sit at least one full timed practice paper in one block, using only permitted materials, to calibrate your pace per question and your decision rule for when to skip and return. Review the answers the same day and note recurring error patterns rather than isolated mistakes.
Light review only: key formulas, regulatory definitions, client-suitability and disclosure principles, and ethics/conduct points. Prepare your bag or workspace, charge devices, print or download your admission document, and set two alarms. Avoid cramming new topics overnight; sleep is worth more than an extra hour of reading.
Eat properly, arrive early or log in early, and keep conversation with other candidates away from technical content. At check-in, follow invigilator or proctor instructions exactly and raise any ID or name discrepancy immediately rather than after the clock starts.
Read the instructions and note the time budget. Do an initial pass answering questions you know quickly, flagging longer ones, and leaving calculation-heavy items for a second pass. Confirm the on-screen timer and how to navigate and review flagged questions before committing time.
Pace to the clock, not to your anxiety: if a question stalls you, mark it and move on. Read each stem fully for words like 'least', 'most appropriate' or 'except'. For scenario questions, identify the client's interest, the duty owed and the required disclosure or suitability step before choosing. Keep scratch work labelled so review is fast.
Stop new questions and make sure every item has an answer if the format does not penalise guessing (confirm the provider's policy). Revisit flagged items only where you have a clear reason to change; second-guessing without new reasoning usually hurts. Check that no answer was left blank by accident.
Rules to check
Bring only the identification and permitted items the provider lists. Everything else, including phones, smart watches and notes, must be stored outside the testing room; possession in the room is typically treated as misconduct regardless of intent.
Your registration name must match your photo ID. If your ID is expired, damaged or shows a different name, resolve it before exam day - the provider, not the invigilator, decides whether you may sit, so confirm with the provider in advance.
Follow all invigilator and proctor instructions, including room scans, desk clearance and any instruction to stop writing. Failure to stop when told is commonly treated as a breach even if you gained no advantage.
Do not communicate with other candidates about exam content during the session or afterwards. Sharing, reproducing or soliciting live exam questions breaches confidentiality and can void your result.
Breaks are governed by the provider's rules. Some sittings have no scheduled breaks and require you to remain seated; others allow supervised breaks that do not stop the clock. Confirm with the provider before relying on leaving the room.
If you believe there is a technical fault, a typo or a distraction, notify the invigilator or proctor immediately and ask for it to be recorded; complaints raised only after the exam are harder to substantiate.
Scoring, the pass mark and whether unanswered or incorrect responses are penalised are set by the provider and can change between sittings. Confirm with the provider's current handbook rather than relying on past candidates' accounts.
Do not bring unauthorised reference material, pre-written notes or any device capable of communication into the testing area. If you are unsure whether an item is allowed, leave it outside and confirm with the provider beforehand.