Candidates with Limited English Proficiency (LEP)

Individuals 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.)

Candidates whose primary language is not English must meet the LEP criteria to be eligible to receive additional time to complete a qualification examination. A FINRA-registered firm or a non-FINRA firm that uses CRD registration must certify that an individual is eligible for LEP in order for a candidate to receive extra time based on the length of the qualification exam. LEP extra time will not be offered to candidates taking the Securities Industry Essentials (SIE) 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 LEP-eligible candidate is sponsored or unsponsored.

Sponsored Candidates

LEP-eligible 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-eligible candidates that are not sponsored by a firm and have enrolled for a qualification exam 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 qualification exams 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 Prometric that the candidate should be provided additional time for LEP to complete the exam.

3. Schedule Exam with Prometric. You’re now ready to schedule your exam appointment. FINRA will notify Prometric that you should be given additional LEP time to complete the exam. You can schedule an appointment online using www.prometric.com/finra or by calling their Contact Center toll free at (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


Test 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.