Form U10 Instructions
The Form U10 is only available for online submission. This online process provides convenient credit card and electronic (ACH) payment options. International credit card payments are now accepted. This is an option in lieu of sending a wire transfer.
Please note, new users will need to click the “Register Now” hyperlink located in the upper right hand side of the login screen to receive a User Name and Password.
Form U10, the Uniform Examination Request for non-FINRA candidates, is designed for use by individuals not employed or associated with FINRA member firms who, as part of a registration process, have been specifically required by another regulatory authority to qualify by examination. (Persons seeking FINRA registration must be employed by or associated with a FINRA member firm. All examination scheduling for persons associated with FINRA member firms or firms applying for FINRA membership must be made by the firm on a Form U4.)
Responsibility rests with the candidates and their firms to: 1) ascertain directly from the appropriate regulatory authority specific advice as to which qualifying examination is required; 2) provide the necessary registration application to that agency in accordance with their requirements; and 3) determine what that regulator requires of them before the agency will provide FINRA with the necessary authorization to proceed with Form U10 processing and test scheduling.
FINRA assumes no responsibility for contacting another regulatory agency with respect to provision of the required authorization or the candidate’s choice of examination.
Individuals who reschedule or cancel a FINRA qualification examination or Regulatory Element Continuing Education (Regulatory Element) session three to 10 business days prior to their scheduled appointment will be subject to a new cancellation and reschedule policy. For complete details, please review the Cancellation Policy.
If, for any reason, a candidate cannot make a scheduled appointment, the appointment must be cancelled. Responsibility rests with the candidate or firm to make and/or cancel appointments in a timely manner. The examination enrollment and fee will be forfeited if an appointment is not cancelled in accordance with the required notification criteria, the candidate fails to appear for an appointment or arrives at the test center so late that his/her session cannot begin without disrupting the center schedule for that date.
Examination and Continuing Education sessions are provided at authorized FINRA testing centers both domestically and internationally. Find complete information concerning examination administration, test center locations and admittance requirements.
Appointments can be scheduled through either Pearson VUE or Prometric:
To avoid cancellation or reschedule fees, candidates seeking to alter their scheduled appointment must do so a minimum of 10 business days in advance. Appointments cancelled or rescheduled within 10 business days will result in the assessment of one of the following fees:
Three – 10 Business Day Cancellation/Reschedule Fee: Individuals who cancel or reschedule an appointment within three – 10 business days of a scheduled appointment will be assessed a cancellation/reschedule fee as outlined in the Three – 10 Business Day Cancellation/Reschedule Fee Table. At the time of rescheduling, these fees will be collected by the testing vendor with whom the candidate has scheduled the appointment.
Late Cancellation/Reschedule Fee (Within Two Business Days of Appointment): Non-member candidates who wish to cancel or reschedule an appointment within two business days, or who fail to show up for a scheduled exam or session, are required to open a new enrollment window (and pay the associated exam or session fee) prior to scheduling a new appointment.
The cancellation or reschedule will be considered timely if effected according to the following schedule:
|Appointment is scheduled for:||To avoid late cancellation/reschedule fee (within two business days of appointment), appointment must be cancelled or rescheduled by midnight, Eastern Time, on:||To avoid three – 10 business day cancel/reschedule fee, appointment must be cancelled or rescheduled by midnight, ET, on:|
|Sunday, Monday||Wednesday of the preceding week||Sunday two weeks before|
|Tuesday||Thursday of the preceding week||Monday two weeks before|
|Wednesday||Sunday of the same week||Tuesday two weeks before|
|Thursday||Monday of the same week||Wednesday two weeks before|
|Friday||Tuesday of the same week||Thursday two weeks before|
|Saturday||Wednesday of the same week||Friday two weeks before|