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Registration & Qualifications

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Printer-Friendly Appointments & Enrollment

Before you can schedule an appointment to take an exam, your firm must file the proper application form (a Form U4 for FINRA member firms) through Web CRD. A scheduling window will be posted on Web CRD upon approval. 

For persons associated with non-FINRA member firms, you must submit a form U10 to FINRA Field Support Services (FSS).  Once the enrollment has been processed, FINRA FSS will mail a PROCTOR enrollment confirmation to your firm.

For the Continuing Education Program, registered persons in covered registration categories will automatically become enrolled for the Continuing Education 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.

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 1-952-681-3873 (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.

Due to the many sessions administered, you should schedule your session as far in advance as possible. This way you can secure an appointment on the desired date. In addition to the desired appointment date, the test vendor staff will need to know:

• your name and Social Security number; 
• 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).

The test vendor staff will not schedule an appointment for a date past the expiration date of your enrollment. If your enrollment expires, FINRA will re-enroll you upon receipt of another exam request from your firm through Web CRD.

Your enrollment is valid for a 120-day period. You must accept any appointment time available within the remaining enrollment period. However, if you call a location at least 10 business days before your enrollment expires, and there are no appointment times available, FINRA may extend your enrollment to the next available appointment at the location.

In these examples, extensions would not be granted if:

• You call before your enrollment expires, and there are appointment times available before the expiration date, and you are unable or unwilling to accept the available opening(s).
• You call before the enrollment expires, and there are no appointments available before the expiration date and you are unable or unwilling to take the first available appointment after the expiration date.
• You call after the expiration date.

Under no circumstances will more than one extension be granted for an enrollment.

You may make an appointment for two or more different exams on the same day (for example, 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.

Cancellation Policy

You may cancel an appointment on a timely basis without penalty before the scheduled session. If, for any reason, a candidate cannot make a scheduled appointment, the appointment must be cancelled. Responsibility rests with the candidate or firm to make and/or cancel appointments in a timely manner.

If a holiday occurs during the normal cancellation period, this schedule adjusts to define "timely cancellation" as one day earlier than stated below. For example: if an appointment was scheduled for a Wednesday, the cancellation would normally have to be effected on Monday of the same week. If Monday was a holiday, the cancellation would need to be effected on the previous Friday. Cancellation will be considered timely if effected according to the following schedule: