On the Day of Your Qualification Exam
You should plan to arrive at the exam center 30 minutes before your scheduled appointment time. This will allow time for you to complete the registration process.
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To gain admission to begin your exam, you must take the following steps:
- Provide one valid, government-issued identification with a signature and picture, such as an unexpired driver’s license, passport or military ID. If you are taking the SIE exam you will also have your ID scanned.
- Ensure that your name on this ID is the exact same name that your examination is scheduled under. No electronic, photocopies or faxes of identification or of name change documentation will be accepted.
- Provide an image and/or biometric capture, such as a photograph. If you are taking the SIE exam you will also be asked to provide a fingerprint each time you enter the test room to confirm your identity.
- Sign the center’s sign-in log
- Agree to abide by FINRA's Rules of Conduct (see links below) and the 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 enter the center and 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
- If you are taking any FINRA exam you will be required to agree to FINRA’s Qualifications Examinations Rules of Conduct.
- If you are taking an MSRB, NFA, or NASAA exam you will be required to agree to FINRA’s Rules of Conduct.
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 United States and/or its territories, there may be additional requirements. For instance, you must sign the FINRA Data Processing Consent Form. It will be provided to you upon arrival.
Remember, FINRA exams are closed-book, and you are not permitted to use reference materials. You are not allowed to bring personal possessions, such as large jewelry, watches, phones, books, briefcases, backpacks and notes, into the testing lab.
- Four-function calculator
- Dry-erase boards (2)
- Dry-erase pen(s)
For more information about what to expect at the testing center, view the vendor’s website:
- Prometric – What to expect in a Prometric test center
To learn more about the exam format, please watch our tutorial on the PROCTOR system.
The test administrator will provide dry-erase boards, dry-erase pen(s) and a basic electronic calculator to candidates, which must be returned to the test center administrator at the end of the testing session. Some test questions involve calculations. Only the provided calculator may be used during the examination.
The examination may contain questions that require the use of exhibits (e.g., charts, graphs, tables). If so, the questions will indicate when to refer to an exhibit.
Candidates are not permitted to access any reference materials during their appointment. Severe penalties are imposed on candidates who cheat or attempt to cheat on FINRA administered examinations.
If your exam is delivered via computer, you will receive your test results on the computer screen shortly after you submit your exam. You will also receive a printed copy of your pass/fail results 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 he or she received.
If You Do Not Pass
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.
If you have any suggestions or concerns regarding your testing experience, you may provide FINRA your input 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 Event Incident Report (EIR). 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.
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.
Effective August 30, 2018, 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. If you are not permitted to test due to your late arrival, FINRA will charge your firm a late cancellation fee. If you are not sponsored by a firm, you will be required to pay for a new test enrollment in order to schedule a new appointment.
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 cancelled. For details about delays and cancellations during severe weather, contact the vendor with which you are scheduled.
If you are scheduled with Prometric, visit the Prometic Site Status page or call (800) 578-6273.
If you have questions or require assistance, please contact FINRA at (800) 999-6647.