How to Schedule an Exam or Continuing Education (CE) Appointment

Prior to scheduling an exam or continuing education session, please note the following:

 

Qualification Examination

 

  • FINRA Member Firms: Before scheduling an appointment to take an exam, your firm must file a Form U4 through Web CRD. A scheduling window will be posted on Web CRD upon approval.
  • Non-FINRA Member Firms: Before scheduling an appointment, you must submit a Form U10 to FINRA. Once the enrollment has been processed, FINRA's Testing & CE department will email an enrollment confirmation to you.

 

Continuing Education Sessions

 

For the CE Program, registered persons in covered registration categories will automatically become enrolled for the CE Regulatory Element on the second anniversary of their initial securities registration. A Regulatory Element enrollment will reoccur every three years thereafter for as long as they remain in the securities business.

 


 

Scheduling an Examination or Continuing Education Appointment

 

After your firm receives your enrollment notification, you can call a conveniently located delivery location to schedule an appointment for the session. Appointments can be scheduled through either Pearson VUE or Prometric:

 

  • Pearson Professional Centers: Contact Pearson VUE's National Registration Center at 1-866-396-6273 (toll free), or 1-952-905-7402 (toll number) or go to www.pearsonvue.com/finra for Web-based scheduling.
  • Prometric Testing Centers: Contact Prometric's National Call Center at 1-800-578-6273 (toll free) or go to www.prometric.com/finra for Web-based scheduling.

 

Candidates should review the test center security guidelines prior to arriving at their testing center. It is also important to review the cancellation and reschedule policy to avoid a penalty when canceling or rescheduling an appointment.

 

Due to the many sessions administered, you should schedule your session as far in advance as possible to secure an appointment on the desired date. In addition to your selected appointment date, please provide the test vendor staff with the following information:

 

  • Your name and CRD number (FINRA ID# if you enrolled through the Form U10);
  • Telephone number where you or your employer can be reached; and
  • The name of the session, or its identifying series ID (e.g., Series 7).

 

You may make an appointment for two or more different exams on the same day (e.g., a FINRA exam and the state law exam), but you must make a separate appointment for each of the exams when contacting the vendor to schedule the exam date. Such arrangements will depend on the appointment availability at the delivery location.

 

For additional information regarding expired enrollment periods and extension requests, visit the how to request an extension page.

 

Last Updated: 8/29/2014