Reschedule or Cancel Your Appointment
If you need to reschedule or cancel your qualification exam or Regulatory Element Continuing Education (CE) session appointment, you must do so a minimum of 10 business days in advance to avoid any fees. Appointments rescheduled or cancelled within 10 business days will incur the existing fee at the time the appointment is changed.
Remember, FINRA does not have a hardship policy if you’re unable to take an exam. If you miss your enrollment period for any reason, the cost of the exam will not be refunded or applied to another examination.
Inclement Weather Policy
If severe weather or a natural disaster makes it difficult or unsafe to travel to the exam center, the exam or CE session may be delayed or cancelled.
Individuals scheduled with Pearson Vue can call (800) 274-0456 for details about delays and cancellations during severe weather.
Individuals scheduled with Prometric can visit the Prometric Site Status page or call (800) 578-6273 for a list of centers closed due to inclement weather.
Reschedule / Cancellation Policy
Cancelling or rescheduling will be considered timely if it is handled according to the cancellation/reschedule timeline below. If a holiday occurs during the normal cancellation period, this schedule adjusts to define “timely cancellation” as one day earlier than stated below.
To avoid late cancel/reschedule fee (within two business days of appointment), the appointment must be cancelled or rescheduled by midnight, Eastern Time (ET) on the day shown in the second column.
To avoid three – 10 business day cancel/reschedule fee, the appointment must be cancelled or rescheduled by midnight, Eastern Time ET, on the day shown in the third column.
|Appointment is scheduled for||Within two business days||Within 3 – 10 business days|
|Sunday, Monday||Wednesday of the preceding week||Sunday two weeks before|
|Tuesday||Thursday of the preceding week||Monday two weeks before|
|Wednesday||Sunday of the same week||Tuesday two weeks before|
|Thursday||Monday of the same week||Wednesday two weeks before|
|Friday||Tuesday of the same week||Thursday two weeks before|
|Saturday||Wednesday of the same week||Friday two weeks before|
Three to 10 Business Day Cancellation/Reschedule Fee: If you cancel or reschedule an appointment within three to 10 business days of your scheduled appointment, you will be assessed a cancellation/reschedule fee as outlined above. At the time you cancel an appointment, the scheduled exam or CE session vendor (Pearson VUE or Prometric) will collect the fee.
Late Cancellation/Reschedule Fee (Within Two Business Days): If you reschedule or cancel an appointment within two business days of a scheduled appointment, or fail to show up, you will be assessed a fee equal to the fee of the exam or session. FINRA will charge this fee to your firm or, if you registered using the Form U10, you will forfeit the pre-paid fee. You then must open a new enrollment window—and pay the associated exam or session fee—before scheduling a new appointment.
As outlined below, appointments rescheduled or cancelled within 10 business days will incur the existing fee at the time the appointment is changed.
|Series||Examination||Within 2 business days||Within 3 - 10 business days|
|3||National Commodity Futures (CR)||$125||$62.50|
|4||Registered Options Principal (OP)||$105||$52.50|
|6||Investment Company Products/Variable Contracts Representative (IR)||$100||$50|
|7||General Securities Representative (GS)||$305||$152.50|
|9||General Securities Sales Supervisor Options Module (SU)||$80||$40|
|10||General Securities Sales Supervisor General Module (SU)||$125||$62.50|
|11||Assistant Representative-Order Processing (AR)||$80||$40|
|14||Compliance Officer (NYSE-CO)||$350||$175|
|16||Supervisory Analyst (NYSE-SA) [one or two parts depending on NYSE requirements]||$240||$60|
|17||Limited Registered Representative (IE)||$80||$40|
|22||Direct Participation Programs Representative (DR)||$100||$50|
|23||General Securities Principal Sales Supervisor Module (GP)||$100||$50|
|24||General Securities Principal (GP)||$120||$60|
|26||Investment Company Products/Variable Contracts (IP)||$100||$50|
|27||Financial and Operations Principal (FN)||$120||$60|
|28||Introducing Broker/Dealer Financial and Operations Principal (FI)||$100||$50|
|30||Branch Managers Examination - Futures||$80||$40|
|31||Futures Managed Funds Examination||$80||$40|
|32||Limited Futures Exam-Regulations||$80||$40|
|34||Retail Off-Exchange Forex Examination||$80||$40|
|37||Canada Module of S7 (CD) [Options Required]||$185||$92.50|
|38||Canada Module of S7 (CN) [No Options Required]||$185||$92.50|
|39||Direct Participation Programs Principal (DP)||$95||$47.50|
|42||Registered Options Representative (OR)||$75||$37.50|
|50||Municipal Advisor Representative Examination||$115||$57.50|
|51||Municipal Fund Securities Limited Principal (FP)||$105||$52.50|
|52||Municipal Securities Representative (MR)||$130||$65|
|53||Municipal Securities Principal (MP)||$115||$57.50|
|55||Limited Representative-Equity Trader Examination (ET)||$110||$55|
|56||Proprietary Trader Examination (PT)||$80||$40|
|57||Securities Trader Examination (TD)||$120||$60|
|62||Corporate Securities Limited Representative (CS)||$95||$47.50|
|63||Uniform Securities Agent State Law Exam (AG)||$125||$62.50|
|65||NASAA-Investment Advisors Law Exam (RA)||$165||$82.50|
|66||NASAA-Uniform Combined State Law Exam (AG and/or RA)||$155||$77.50|
|72||Government Securities Representative (RG)||$110||$55|
|79||Limited Representative - Investment Banking (IB)||$305||$152.50|
|82||Limited Representative-Private Securities Offerings (PR)||$95||$47.50|
|86||Research Analyst (RS) Part I Analysis Module||$185||$92.50|
|87||Research Analyst (RS) Part II Regulations Module||$130||$65|
|91||FDIC Safety and Soundness Technical Evaluation||$200||$100.00|
|92||FDIC Compliance Technical Evaluation||$200||$100.00|
|93||FDIC Division of Resolutions and Receiverships Technical Evaluation||$200||$100.00|
|99||Operations Professional (OS)||$130||$65|
|101||S101 Regulatory Element Continuing Education||$100||$50.00|
|106||S106 Regulatory Element Continuing Education||$100||$50.00|
|201||S201 Regulatory Element Continuing Education||$100||$50.00|
|501||S501 Regulatory Element Continuing Education||$60||$30.00|
|901||S901 Regulatory Element Continuing Education||$100||$50.00|
If you have questions or require assistance, please contact FINRA’s Candidate Services department at 800-999-6647.