Candidates with Limited English Proficiency (LEP)

FINRA provides candidates with Limited English Proficiency (LEP) additional time to complete a FINRA-administered qualification examination 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 note that this LEP request process replaces the process formerly referred to as English as a second language (ESL). Refer to Information Notice 8/1/12 for further details.

  

  

Effective September 1, 2012 LEP candidates and their sponsoring firms, or unsponsored (U10) candidates who want to request additional time to complete a FINRA-administered qualification examination or CE session must:

 

  • Open the appropriate enrollment window by requesting an examination via Form U4 or Form U10.  For CE sessions, Web CRD automatically opens a CE session based on the anniversary of the individual's initial securities registration.
  • Submit a completed LEP Request Form to FINRA's LEP Support Services Team via email (PDF format only) or facsimile to (202) 689-3487.
    • The request for additional time will apply to all of the examinations/CE sessions that are included on the LEP Request Form and have an open enrollment window.
  • Receive confirmation from FINRA within approximately 10 business days of receipt that the LEP Request Form has been processed prior to scheduling the exam or CE session.
    • FINRA will provide notification via email that the LEP Request Form has been processed, or that the initial submission was incomplete and a new, complete form is required. Once processed, FINRA will notify its test delivery vendors that the candidate should be provided additional time for LEP to complete the examination or CE session.
  • Schedule the examination or CE session appointment with one of FINRA's test delivery vendors:
    • Pearson VUE's National Registration Center: (toll-free) (866) 396-6273
    • Prometric's National Call Center: (toll-free) (800) 578-6273

 

Additional LEP Process Details:

With this new process, test center personnel will no longer accept written requests by candidates for additional time based on LEP or because English is a candidate's second language, and they will no longer be authorized to provide additional time to such candidates.

 

LEP-eligible candidates will receive an additional 30 minutes for an examination that is up to two hours in length, and an additional 60 minutes for an examination over two hours in length and for any CE session. The FINRA Administered Qualification Examinations Web page provides a list of examinations, their applicable costs, time allotted and number of questions. For additional information regarding the LEP process, please review the LEP Frequently Asked Questions.

 

Misrepresentation of a candidate's LEP-eligibility may result in a disciplinary action or proceeding against the firm and/or candidate by the sponsoring organization (i.e., the self-regulatory organization, state or bank regulator), as appropriate.

 

Questions regarding the LEP process should be directed to FINRA's Field Support Services at (800) 999-6647, Option 3.

Last Updated: 11/7/2012