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 a fee.

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 is handled according to the cancellation/ reschedule timeline 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

Three – 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

Fees

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 Prometrics) 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.

Series

Examination

Within two business days

Three – 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

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

62

Corporate Securities Limited Representative (CS)

$95

$47.50

63

Uniform Securities Agent State Law Exam (AG)

$115

$57.50

65

NASAA-Investment Advisors Law Exam (RA)

$155

$77.50

66

NASAA-Uniform Combined State Law Exam (AG and/or RA)

$145

$72.50

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

92

FDIC Compliance Technical Evaluation

$200

$100

93

FDIC Division of Resolutions and Receiverships Technical Evaluation

$200

$100

99

Operations Professional (OS)

$130

$65

101

S101 Regulatory Element Continuing Education

$100

$50

106

S106 Regulatory Element Continuing Education

$100

$50

201

S201 Regulatory Element Continuing Education

$100

$50

501

S501 Regulatory Element Continuing Education

$60

$30

901

S901 Regulatory Element Continuing Education

$100

$50

If you have questions or require assistance, please contact FINRA’s Candidate Services department at 800-999-6647.