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Printer-Friendly FINRA Test Center Rules of Conduct

(presented electronically prior to starting an examination or Continuing Education session)

Prohibition of Study Materials or Assistance

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 this 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 any personal items such as notes, formulas, study materials, or electronic devices into the examination/training room. I will check my pockets, wallet, purse, etc. to avoid inadvertently retaining such items. 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 (except from the center staff), any form of assistance during the examination/training or restroom breaks.

4. I must not give any form of assistance during the examination/training or restroom breaks.

5. I am not permitted to use a telephone, cellular phone, pager, hand held computer or other communication device, electronic or otherwise, during the examination/training or restroom breaks.

6. During restroom breaks I must not leave the premises and may go only to the restroom.

7. I must not remove any written, printed, or recorded materials from the test center other than the score report provided by the center staff. The examination/training 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. 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.