Information Notice - April 20, 2010

Change for Scheduling Exam and CE Sessions

Executive Summary

FINRA is making changes to the process for scheduling exams and continuing education (CE) sessions through FINRA's testing vendors—Pearson VUE and Prometric.


Beginning May 3, 2010, individuals may use their Social Security numbers (SSN), CRD, or FINRA ID numbers to schedule an exam or CE appointment.


Effective September 15, 2010, individuals will be required to use either their CRD or FINRA ID numbers to schedule an exam or CE appointment. As a result, test vendors will no longer accept SSNs.


Please note that effective September 23, 2010, the Form U10 will only be available for online submission; hardcopy forms mailed to FINRA will no longer be accepted. For added payment convenience, FINRA will expand its online Form U10 payment options to accept electronic (ACH) check payments in addition to the existing credit card option.


Questions about this Notice may be directed to the Gateway Call Center at (301) 869-6699.


This Notice was updated to note the changes to the scheduling process and payment options for non-FINRA candidates who enroll using the Form U10.