Candidates with Limited English Proficiency (LEP)

Individuals with Limited English Proficiency (LEP) can request additional time to complete a qualification examination or Regulatory Element Continuing Education (CE) session.

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/session.

Exam / CE 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.
    For exams, open the appropriate enrollment window in Web CRD using the Form U4. For CE sessions, Web CRD automatically opens a CE session based on the anniversary of the individual’s initial securities registration.
  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 and CE sessions.

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/CE sessions 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 or CE session.
  3. Schedule Exam or CE Session with FINRA’s Exam Vendors.
    You’re now ready to schedule your exam or CE session 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 or CE session. 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 or CE session and need to retake it, you must submit a new LEP request.  You must also submit a new LEP request before taking a new CE session or a follow-up session.

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.