International Test Centers Policies & Procedures

Examination/Continuing Education (CE) session administration procedures at all international locations are, for the most part, the same as for tests/CE sessions administered domestically. The only exceptions are the data processing consent form and the international surcharge fee (see last two bullets). The standard procedures are as follows:

 

  • Filing an Application to Test

    Applications to test can be submitted either:
     
    • by a member firm for their associated candidate via a Form U4 Uniform Application for Broker Dealer Registration, or
    • independently by a candidate affiliated with a non-FINRA entity via a Form U10 Uniform Examination Request for non-FINRA candidates.

    Firms must file a Form U4 through Web CRD or candidates must file their U10 application before an appointment may be scheduled.

    Note: Candidates are identified by their CRD or FINRA ID numbers for testing purposes. Accordingly, candidates should have their unique identification number available when scheduling an appointment.

    Individuals who cancel or reschedule a qualification examination or Regulatory Element session within 10 business days of a scheduled appointment date will incur a fee. For detailed information, please review FINRA's Cancellation and Reschedule Policy.
     
  • Candidate ID Requirement

    In order to gain admission to an international test center, the candidate must provide one (1) form of valid, government-issued identification containing both a photo and signature.  Examples of acceptable photo IDs include: a valid driver's license, a military identification, a passport, or a similar type of official document issued by a government agency.
     
  • Limited English Proficiency (formerly known as English as a Second Language)

    FINRA provides candidates with Limited English Proficiency (LEP) additional time to complete a FINRA-administered qualification or Regulatory Element Continuing Education (CE) Session provided they follow certain protocols. Candidates with LEP are persons who do not speak English as their primary language and have limited ability to read, speak, write or understand English. Please review the LEP process for complete details.
     
  • Data Processing Consent Form

    All candidates testing internationally will be required to sign a Data Processing Consent Form at the testing center for the collection and processing of personal data. Prior to your appointment, you may view a copy of the Data Processing Consent Form. Please note that this form will be provided to you when registering at the testing center.
     
  • International Delivery Surcharge

    A registration fee surcharge of $15.00 for international delivery will be charged to the candidate's firm upon completion of the session. 

 

Last Updated: 8/5/2013