Instructions for Licensed Medical Professionals Completing the Continuing Education (CE) Accommodations Verification Request Form

You must be a licensed or otherwise qualified medical professional whose credentials are appropriate to diagnose and evaluate the participant's disability. You are asked to make recommendations that are reasonable and appropriate for the participant's disability in taking the Continuing Education (CE) Regulatory Element program. Your recommended accommodations should not fundamentally alter the measurement of the knowledge and skills that the CE Regulatory Element program is intended to assess. Your recommendations will be considered but are not binding.

You must have diagnosed, treated/evaluated or consulted with the participant within the last five (5) years, and you must have knowledge of the participant's current functioning with the disability. The accommodations you recommend are based on your professional knowledge of the participant and his or her disability.

You and the participant should consult and come to agreement as to the appropriate and reasonable accommodation(s) needed for completing the CE Regulatory Element program.

Along with the completed CE Accommodations Verification Request Form, please be sure to enclose copies of records/reports/evaluations/assessments that confirm the diagnosis. This documentation may be no more than five (5) years old.

For claims of physical disability, you must provide a report on professional stationery/letterhead describing the disability and how it prevents the applicant from taking the program online and proposing an appropriate accommodation.

A copy of the professional report on the standardized psychoeducational assessments given to identify a learning or related disability must be provided for any that is diagnosed. The report must discuss the test scores and their interpretation.

You must provide a DSM-III or DSM-IV (Diagnostic and Statistical Manual of Mental Disorders) report; a diagnosis from other appropriate and professionally recognized, psychological or standardized educational assessment/evaluation (e.g., Woodcock-Johnson, Wechsler Adult Intelligence Scale, Nelson-Denny Reading Test) is also acceptable.

In the case of a psychological disorder (other than a specific learning disability) where no formal testing has been done, please include a psychological report that confirms the disability. Due to the sensitive nature of information this report may contain, you can prepare a profile summary that provides sufficient detail. The report should confirm the means by which the disability diagnosis was made, describe the participant's current functioning, and confirm the need for accommodations. The report must be typed and presented on the professional's stationery/letterhead and should include the following information:

  1. Date of evaluation/observation
  2. Date of report
  3. Reasons for referral
  4. Brief overview of general observations and identification of those behaviors that meet the DSM criteria for diagnosis
  5. History of the course of the disability and current functioning
  6. Any test results
  7. Multiaxial format for DSM codes or listed diagnoses
  8. Recommendations: The report should provide sufficient information to confirm the existence of the disability and establish the need for accommodation.

Completing the CE Accommodations Verification Request Form 

The CE Accommodations Verification Request Form must be completed by a professional who is licensed or whose credentials are appropriate to diagnose and treat the participant's disability as well as make recommendations for appropriate accommodations. 

FINRA will review the documentation and the professional's recommendation to determine whether it is reasonable and appropriate and will not alter the fundamental nature and purpose of the program. FINRA may need to contact the professional in order to gain additional information about the nature of the participant's disability and the accommodation needs. Based on the diagnosis and the associated recommendations, FINRA will consider the need and will notify the participant or member firm in writing as to what accommodation, if any, can be provided.

Credentialed/licensed professionals (e.g., psychologist, psychiatrist, physician) submitting the documentation and completing the CE Accommodations Verification Request Form must have knowledge of the participant's specific disability and current functioning. The qualified professional should also have a "professional/clinical relationship" with the participant, having treated and/or consulted with the participant within the past five years.

Documentation (e.g., professional reports/evaluations) of the existence and/or history of the disability must accompany the request for the accommodations. Participants with emotional or psychological disorders must submit documentation from an appropriate mental health professional and include a diagnosis from the Diagnostic & Statistical Manual Disorders (DSM).

The DSM is a complete psychological/psychoeducational report and identification of all professionally recognized standardized tests/assessments given to confirm the diagnosis. Persons with learning disabilities must provide a DSM diagnosis or another diagnosis from an appropriate assessment such as the Woodcock-Johnson or Wechsler Adult Intelligence Scale (WAIS).

A copy of the complete psychoeducational evaluation report on the standardized assessments for learning disabilities must be provided. All subtests and total scores must be reported. No request will be considered without the complete reporting of standardized assessments administered.

Documentation submitted (e.g., psychoeducational reports, test/assessment results) should be no more than five years old. If the documentation is more than five years old, the participant will be instructed to have an appropriate professional update the evaluation to reconfirm the diagnosis. Any documentation submitted must establish the participant's current functioning and need for accommodations.

The participant is responsible for the cost of providing the documentation of the disability. However, there is no cost to the participant for any accommodation services during or associated with the CE Online Program administration.

Please Note: FINRA understands that some participants have not made their firm aware of their disability status. We respect that decision, and FINRA will not disclose any information related to a disability or a request for accommodation unless permitted by the participant or required by federal law. 

If you have further questions, please contact FINRA at (800) 999-6647, Option #2.