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Regulatory Relief for Testing and Continuing Education 

FINRA is working to accommodate testing and regulatory element continuing education candidates impacted by Hurricanes Harvey and Irma.

Hurricane Harvey: We will automatically extend the enrollment windows due to expire between August 25, 2017 and September 22, 2017 for candidates who are in the affected counties and regions declared a "disaster" by the federal or state governments. The new enrollment end date will be extended until November 6, 2017.

Hurricane Irma: We will automatically extend the enrollment windows due to expire between September 5, 2017 and October 1, 2017 for candidates who are in the affected counties and regions declared a "disaster" by the federal or state governments. The new enrollment end date will be extended until November 15, 2017.

As more information becomes available, FINRA may provide additional extensions.

Please contact FINRA's Gateway Call Center at 301-590-6500 with any questions or if you require additional information.

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.

NOTE: If you are looking to enroll for an exam via Form U10, you should instead use the enrollment process below. If you are with a FINRA member firm, your firm must file a Form U4 on the Web CRD system to request an exam.

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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.

NASAA Exams
FINRA administers the following NASAA exams.

» Series 63 » Series 65 » Series 66
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NFA Exams
FINRA administers the following NFA exams.

»Series 3 » Series 30 » Series 31 » Series 32 » Series 34
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MSRB Exams
FINRA administers the following  MSRB exams.

» Series 50  » Series 51  » Series 52  » Series 53
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Continuing Education (CE) Program
FINRA administers the following CE programs.

» S101 »  S106 »  S901 »  S201

NOTE: CE programs can only be requested if required by MSRB Rule G-3 for individuals not registered in the Web CRD system.
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FINRA Exams
NOTE: FINRA exams can only be requested if you are sponsored by a state regulator or an approved regulatory authority.
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