FINRA Exams - Firms

Below is a list of policies and procedures for candidates taking the FINRA Series Exams.

Identification Requirements:

Please present one form of State or Government issued, valid identification, bearing both a photograph and a signature. No photocopies or faxes of identification or of name change documentation will be accepted.

Rules of Conduct

FINRA requires that you read, understand and electronically agree to remain compliant with the Rules of Conduct prior to beginning your scheduled exam.

Personal Items

No personal items, food, or drink, including coffee and water, are permitted inside the testing room. Personal items include, but are not limited to: pens, pagers, cellular phones, watches, hats, non-medical electronic devices, outerwear, purses, and wallets. Personal items must be kept in your assigned locker or returned to your car prior to the start of your exam. As the testing vendor is not responsible for any personal items, they encourage you to bring only your identification into the Center.

Religious Apparel

Religious items such as head coverings, Rosary beads, Kabbalah bracelets, etc. are permitted in the testing room after being visually inspected by the Test Center Administrator (TCA). Similar to any other clothing or jewelry, any religious items allowed to be worn in the testing room must remain on your person at all times. Removed religious apparel must be stored in your locker.

Calculators

If you need a calculator for your testing session, please see the Test Center Administrator. You will be provided with a non-programmable, non-printing calculator. (Exception ONLY for the Series 91 Exam FDIC.)

Erasable Note Boards

Erasable note boards & pens will be provided to you upon admittance to the testing room. If you need additional note boards or pens, please alert your proctor. The note boards & pens must be returned at the end of your exam.

Restroom Breaks

Restroom breaks are permitted, however the time on your exam will continue to count down. You will be asked to sign the logbook upon exiting and re-entering the testing room. You will be asked to show your identification both when exiting and re-entering the testing room. Per FINRA testing policies, you are not permitted to leave the building during an unscheduled break unless required to do so to use the bathroom facilities. You will not be permitted to access any study materials, make any phone calls, access electronic media or your locker during rest breaks. If you need to access an item stored in the test center locker during an unscheduled break, such as food or medicine, you must notify the TCA before you retrieve the item. You are not permitted to access any personal item as referenced above.

Appointment Length vs. Test Time

For all FINRA appointments, an additional 30 minutes is scheduled to allow for the completion of the tutorial presented prior to your session and the post-exam survey. The additional time for these activities cannot be used toward completing the exam itself. For example, a Series 6 appointment is scheduled for 2 hours and 45 minutes. Once you have been signed in and have completed the tutorial, the exam will start and a timer with 2 hours and 15 minutes will appear on the monitor. Also, the Series 7 exam requires an additional 30-60 minute break between Parts I and II. The additional time for these activities or the required Series 7 break cannot be used toward completing the exam itself.

Results

Upon completion of your exam, your result file is electronically encrypted and returned to FINRA. You will be provided with a printed copy of your exam results. The testing center personnel have no access to your result file at this point. Your firm's Compliance/Registration Department should receive official notification of your score or completion status within 48 hours. If you have questions regarding your score, please contact your Compliance/Registration Department for assistance.

Special Accommodations

If you require special accommodations, you cannot schedule your test via the Internet. If you have received or would like to request approval for an accommodation, please call FINRA's Special Conditions Team at: 800-999-6647 and select Option 2 to schedule your examination. Please note that any request to bring any personal belongings into the testing room needs to be approved prior to scheduling your appointment. Personal belongings include but are not limited to: pillows, prescription medications (i.e. nitroglycerin pills), medical devices, etc.

How do I become eligible to take an FINRA exam?

You must be registered for your examination(s) with FINRA and receive authorization from your sponsoring firm prior to scheduling your appointment at a Prometric Testing Center.

What time must I arrive at the Testing Center?

Please plan to arrive 30 minutes before your scheduled appointment to allow time for check-in procedures. You may be allowed to start your exam early if a seat is available



Effective August 30, 2018, you will not be allowed to test if you arrive later than 30 minutes after your appointment start time, and a seat is unavailable to accommodate your full testing time. If you are not permitted to test due to your late arrival, FINRA will charge your firm a late cancellation fee. If you are not sponsored by a firm, you will be required to pay for a new test enrollment in order to schedule a new appointment.

What do I bring to the Testing Center?

Bring one valid form of official identification bearing your name, signature and a recent photo. You must present one of the following as the primary forms of identification: valid passport, driver's license, or military ID card. All other personal items must be placed in a locker for test security purposes, so please limit what you bring to the Test Center.

What is Prometric's re-schedule and cancellation policy?

Effective September 1, 2011, FINRA will implement a fee for individuals who cancel or reschedule a qualification examination or Regulatory Element session within three to 10 business days of a scheduled appointment date. For detailed information, please review FINRA's cancellation policy.

Appointments may be altered using the Reschedule/Cancel option on this Web site or 'Prometric's Automated Voice Response System at: 800-578-6273; both are available 24 hours a day, 7 days a week. There is no charge for rescheduling or canceling an appointment if the change is made in a timely manner. Untimely cancellation of an exam or failing to show for an appointment is subject to a penalty fee. Refer to FINRA's cancellation policy.

Is payment due at the time of my exam?

No payment is due. FINRA collects payment directly from your sponsoring firm.

What if I require Special Accommodations?

If you require special accommodations, you cannot schedule your test via the Internet. If you have received or would like to request approval for an accommodation, please call FINRA's Special Conditions Team at 1-800-999-6647 and select Option two (2) to schedule your examination.

Why do you need so much contact information from me?

Should a center be unable to administer your test because of a technical problem or some other emergency (including weather-related ones), your appointment will be rescheduled with no additional charge. During the registration process, you will be asked to provide a primary and secondary phone number so that we can contact you in case of an unforeseen problem at the testing center. Also, in order to register online you must provide an e-mail address. Prometric will send you an e-mail confirming your appointment.