After Your Exam

Waiting Period


If you do not pass a qualifying exam, a waiting period will apply based on FINRA Rule 1070 (e).  Generally, you may take the exam again 30 days after the date of the prior exam. However, if you fail the exam three or more times in succession, you must wait until 180 calendar days have elapsed since the date of your last attempt to pass the exam.

  • Registered with a FINRA member firm? To take an exam again, your firm must re-request the exam for you through Web CRD. Another examination fee will be charged. You will then receive a new 120-day enrollment period to schedule the exam appointment.
  • Not affiliated with a FINRA Member Firm? Non-member applicants must submit a new request and repay the exam fee using the Test Enrollment Services System (TESSTM) to secure a new valid enrollment.

Complaints?


You may contact your firm’s Registration Department to follow up.

If you have questions or require assistance, please contact FINRA’s Gateway Call Center at (301) 590-6500.