FINRA Test Center Rules of Conduct

Prohibition Against Assistance, the Use of Study Materials or Misconduct

The purpose of this form is to make sure that you understand and acknowledge the rules of conduct you must follow in completing this session. You must read and agree to these rules before you will be permitted to start your session.


I understand that:


  1. I am attesting that I am the person I represent to be for this session.  
  2. I must not take or attempt to take any personal items including but not limited to, notes, formulas, study materials, or electronic devices into the testing room. I will place all personal belongings in the locker provided by the testing vendor prior to entering the testing room.
  3. I must not receive or attempt to receive, any form of assistance during the test or restroom breaks.
  4. I must not give or attempt to give any form of assistance during the test or restroom breaks.
  5. I must not use or attempt to use a telephone, cellular phone, pager, hand held computer or other communication device, electronic or otherwise, during the test or restroom breaks.
  6. I must only go to the restroom when on a break. I must not deviate during my travels to and from the restroom for any reason. I must not leave the building. I must not access my locker.
  7. I must not remove or attempt to remove any written, printed, or recorded materials from the test center other than the score report provided by the center staff. The test materials remain the property of FINRA and/or developing organization(s), and I shall maintain the confidentiality of the materials, including the questions and my answers to them.
  8. I must not engage in any conduct that is disruptive or threatening to a test center staff member or another candidate.
  9. I must not engage in any conduct that creates a disturbance or interferes with the administration of the test or with the administration of other candidates’ tests.
  10. Any violation of these rules will subject me to possible disciplinary action by FINRA, another self-regulatory organization, or the Securities and Exchange Commission and could result in my being barred from employment/association with any securities dealer and forfeiture of my test results.