Form U10

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.)

 

Before scheduling an appointment, non-FINRA candidates must submit an online Form U10.  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 ID and Password.