On the Day of Your Qualification Exam


3. On the Day of Your Exam

On This Page


Gaining Admission to the Testing Room:

Arrival


  • Be sure to review your confirmation email for important appointment details.
  • Please plan to arrive 30 minutes before your scheduled appointment to allow time for check-in procedures. You may be allowed to start your exam early if a seat is available.
    • You will not be allowed to test if you arrive later than 30 minutes after your appointment start time and a seat is unavailable to accommodate your full testing time. You, or your firm, will be required to open and pay for a new enrollment before rescheduling your appointment.
  • Bring one valid, government-issued identification with a signature and picture, such as an unexpired driver’s license, passport or military ID.
    • Ensure that your name on this ID is the exact same name under which your exam is scheduled. No electronic, photocopies or faxes of ID or of name change documentation will be accepted.
  • Remember the email address that was used when you scheduled your appointment. Test center staff may ask for this information at check-in. For example, if your firm scheduled the appointment, most likely your appointment is under the firm’s email address.

Inspection and Sign-in Requirements

  • You will be required to stow any personal items in an assigned locker. These include but are not limited to: electronic devices, cameras, phones, any communication or recording devices, watches, purses, wallets and jewelry. Important note: Do not bring study materials to the test center! View more details about prohibited and permitted personal items.
  • You will be required to show that you are not in possession of any prohibited items by verifying your pockets are empty, pulling up your pant legs and pulling back your sleeves. You will also be scanned with a metal detector prior to entering the testing room. Review Prometric’s webpage for additional information on wanding procedures.
  • Your picture will be taken, and your ID will be inspected.
    • If you are taking the SIE exam, your ID will also be scanned at check-in and you will be required to provide a fingerprint each time you enter the testing room.
  • You will be required to sign the center’s sign-in log.
  • You will be required to agree to abide by FINRA's Rules of Conduct (see links below) and Prometric’s Testing Center Security Guidelines. If you refuse to abide by the exam center’s security guidelines and/or protocol, you will not be allowed to test. A late fee will be charged to your firm, or you will lose the paid exam fee. Any violation of the rules will subject you to possible disciplinary action, including forfeiture of your test results.

Additional information regarding check-in procedures for the SIE exam can be found on Prometric’s website.

If you are taking a test outside of the U.S. and/or its territories, there may be additional requirements. For instance, you must sign the FINRA Data Processing Consent Form, which will be provided to you upon arrival at the testing site.

In the Testing Room:


Remember, FINRA exams are closed-book. You are not permitted to use reference materials for the duration of your appointment. Your actions in the testing center are video- and audio-monitored. The impacts of cheating are severe and could result in an invalidation of your exam results or prohibition from retaking an exam or registering with a FINRA member firm.

You will be provided the following materials, which must be returned at the end of your appointment:

  • Four-function calculator – personal calculators are not permitted
  • Dry-erase boards (2)
  • Dry-erase pen(s)
  • Noise cancelling headphones – available at each testing station
  • Tissues – available upon request

Breaks are only permitted for restroom use. You will not be permitted to leave the center or access your locker. Your exam timer will not pause.

For more information about what to expect at the testing center, visit Prometric’s website.

To learn more about the exam format and navigation, please watch our tutorial.

Test Results:


If your exam is delivered via computer, you will receive your test results on the computer screen shortly after you complete your exam. You will also receive a printed copy of your pass/fail results report.

Score Report

If you receive a pass result, no additional scoring details will be provided. However, if you receive a fail result, additional details regarding your exam performance will be provided in the results report, including your overall exam score and your performance on each of the topic sections on the exam. This information is provided to help inform your study efforts, should you retest at a later date.

Equating of Scores

In some cases, the results report will indicate that the score provided is an equated score. If that is the case, then your test score is being placed on a common scale with all other candidate test scores for that exam and statistical adjustments are made to the score to account for slight variations in the difficulty that may exist among different sets of exam questions. This method allows for a fair comparison of scores and ensures that every candidate is held to the same passing standard regardless of which set of exam items they received.

If You Do Not Pass

If you do not pass a qualification exam, a waiting period will apply based on FINRA Rule 1210 Supplementary Material .06. 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 CRD®. Another exam 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.

Concerns About Your Testing Experience:


If you have any suggestions or concerns regarding your testing experience, you may provide your input to FINRA in the survey at the conclusion of your exam. Upon exiting the testing room, be sure to speak to the exam center personnel and ask to file an incident report. You may also 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.

Inclement Weather Policy:


If severe weather or a natural disaster makes it difficult or unsafe to travel to the exam center, the exam session may be delayed or canceled. For details about delays and cancellations during severe weather, contact Prometric by visiting the Prometric Site Status page or calling (800) 578-6273.

If you have questions or require assistance, please contact FINRA at (800) 999-6647.