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.

 

  • Form U10 Instructions
  • Sample Form U10 (PDF 2,524 KB)
    Note: For viewing only; all requests must be submitted using the submit online link
  • Submit Form U10 Online
    (New users: click the “Register Now” link located in the upper right side of the login screen to receive a user ID and password.)