How to Schedule an Exam or Continuing Education (CE) Appointment
Prior to scheduling an exam or continuing education session, please note the following:
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:
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:
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.