Candidates with Limited English Proficiency (LEP)

NOTE: As of Monday, January 4, 2016, ALL Continuing Education (CE) Regulatory Element program sessions (S101, 106, 201, and 901) are available via the FINRA CE Online System™. For a limited time, the testing centers will remain available as a CE delivery option. However, the CE Online Program provides participants with the flexibility to satisfy their CE Regulatory Element requirement from a home or office computer—anytime, anywhere at their own pace during their 120-calendar-day enrollment window. CE Online allows participants the ability to start, stop and return to the session at any time. With these benefits, LEP will no longer be offered for a CE session delivered in a test center. The LEP accommodation will continue to be available for qualification examinations only. For more information please see FINRA’s CE Online Web Page.

Individuals with Limited English Proficiency (LEP) can request additional time to complete a qualification examination.

Candidates with LEP are persons who do not speak English as their primary language and have limited ability to read, speak, write or understand English. (See FINRA Information Notice 8/1/12.)

Eligible LEP candidates receive extra time based on the length of the exam.

Exam Appointment Extra Time Allowed
up to 2 hours long 30 minutes
more than 2 hours long 60 minutes

How to Request Additional Time


The process for requesting additional time depends on whether the candidate is sponsored or unsponsored.

Sponsored Candidates

LEP candidates who are associated with a FINRA-registered firm or a non-FINRA firm that uses CRD to register candidates with other CRD participating regulators must follow certain protocols to be granted extra exam time.

  1. Request the applicable exam window.
    Open the appropriate enrollment window in Web CRD using the Form U4.
  2. Complete and Retain the Hard-Copy LEP Request Form.
    LEP-eligible candidates and their firms must continue to complete the hard-copy LEP Request Form, retain a copy in their records and produce the form upon regulatory request. You no longer need to send the form to FINRA.
  3. Submit Your LEP Request via the Non-Filing Information (NFI) Individual functionality in Web CRD.
    Firms must submit all LEP requests for additional time using Web CRD. For step-by-step instructions, reference the LEP Request User Guide.
  4. Schedule an Appointment Immediately After LEP Request
    Right after submitting the LEP request through Web CRD, firms can schedule exams.

Unsponsored Candidates

LEP candidates that are not sponsored by a firm and have registered via the Form U10 must follow certain protocols to be granted extra exam time. Unsponsored requests should allow approximately 10 business days for FINRA to process the LEP Request Form to receive confirmation before scheduling an appointment.

  1. Submit a completed LEP Request Form to FINRA's LEP Support Services Team via email (PDF format only) or facsimile to (202) 689-3487. The request for additional time will apply to all of the examinations that are included on the LEP Request Form and have an open enrollment window.
  2. Within 10 days of submission the LEP Request Form will be reviewed and FINRA will provide notification via email either that the initial submission was incomplete and a new, complete form is required; or that the request was complete and has been processed. Once a completed request is processed, FINRA will notify its test delivery vendors that the candidate should be provided additional time for LEP to complete the examination.
  3. Schedule Exam with FINRA’s Exam Vendors.
    You’re now ready to schedule your exam appointment with either a Pearson VUE or Prometric exam center by telephone or online. FINRA will notify the exam vendors that you should be given additional LEP time to complete the exam. Note: Pearson VUE only schedules appointments requiring LEP via phone.
    • Pearson VUE’s National Registration Center: (866) 396-6273.
    • Prometric’s website or National Call Center: www.prometric.com/finra or (800) 578-6273

Retaking an Exam


If you do not successfully complete an exam and need to retake it, you must submit a new LEP request. For additional details, please review the LEP FAQ.

Notes


Exam center personnel are not permitted to provide additional time for LEP candidates at their discretion without prior authorization from FINRA.

Any misrepresentations of LEP eligibility may result in a disciplinary action or proceeding against you and/or your firm by the sponsoring organization (i.e. the self-regulatory organization, state or bank regulator), as appropriate.