Enroll for a Series Exam
Whether you are new to the industry or are seeking to broaden your career, you may be required to complete a Series exam. Reasons include:
- you are looking to become a securities industry professional and are required by a state regulator or by an approved regulatory authority to take an exam;
- you are looking to become an MSRB representative or principal;
- you are applying for NFA membership to become a sole proprietor; or
- you are seeking to become licensed by a state regulator to work with investors in that state.
Depending on the Series exam for which you are trying to enroll, you will either complete that process via a Form U10 or FINRA’s Test Enrollment Services System (TESS™). Beginning in June 2017, enrollments for examinations are being transitioned to TESS (learn more).
To enroll for the appropriate Series exam, find it below and click the Enroll button for that Series group. You will automatically be directed to the correct enrollment process for that Series.
NOTE: If you are currently employed or associated with a FINRA member firm, exam requests must be made by the firm by filing the Form U4 on the Web CRD system.