On the Day of Your Qualification Exam

You should plan to arrive at the exam center 30 minutes before your scheduled appointment time. This will allow time for you to complete the registration process.

To gain admission to begin your exam, you must take the following steps:

  • Provide one valid, government-issued identification with a signature and picture, such as an unexpired driver’s license, passport or military ID

  • Provide an image and/or biometric capture, such as a photograph

  • Sign the center’s sign-in log

  • Agree to abide by the FINRA Exam Center Rules of Conduct and the Testing Center Security Guidelines. If you refuse to abide by the exam center’s security guidelines and/or protocol, you will not be allowed to enter the center and a late fee will be charged to your firm or you will lose the paid exam fee. Any violation of the rules will subject you to possible disciplinary action, including forfeiture of your test results.

If you are taking a test outside of the United States and/or its territories, there may be additional requirements. For instance, you must sign the FINRA Data Processing Consent Form. It will be provided to you upon arrival.

In the Testing Lab

Remember, FINRA exams are closed-book, and you are not permitted to use reference materials. You are not allowed to bring personal possessions, such as books, briefcases, backpacks and notes, into the testing lab.

Supplied Materials:

  • Four-function calculator
  • Dry-erase boards (2)
  • Dry-erase pen(s)

For more information about what to expect at the testing center, view the vendor’s website:

To learn more about the exam format, please watch our tutorial on the PROCTOR system.

Using Reference Materials

The test administrator will provide dry-erase boards, dry-erase pen(s) and a basic electronic calculator to candidates, which must be returned to the test center administrator at the end of the testing session. Some test questions involve calculations. Only the provided calculator may be used during the examination.

The examination may contain questions that require the use of exhibits (e.g., charts, graphs, tables). If so, the questions will indicate when to refer to an exhibit.

Candidates are not permitted to bring any reference materials to testing sessions. Severe penalties are imposed on candidates who cheat or attempt to cheat on FINRA administered examinations.

Concerns About Your Testing Experience?

If you have any suggestions or concerns regarding your testing experience, you may provide FINRA your input in the survey at the conclusion of your exam. Upon exiting the testing room, be sure to speak to the exam center personnel and ask to file an Event Incident Report (EIR). You may also contact your firm’s registration department to follow up.

Late Arrivals

Please plan to arrive 30 minutes before your scheduled appointment to allow time for check-in procedures. You may be allowed to start your exam early if a seat is available.

Effective August 30, 2018, you will not be allowed to test if you arrive later than 30 minutes after your appointment start time, and a seat is unavailable to accommodate your full testing time. If you are not permitted to test due to your late arrival, FINRA will charge your firm a late cancellation fee. If you are not sponsored by a firm, you will be required to pay for a new test enrollment in order to schedule a new appointment.

Inclement Weather Policy

If severe weather or a natural disaster makes it difficult or unsafe to travel to the exam center, the exam session may be delayed or cancelled. For details about delays and cancellations during severe weather, contact the vendor with which you are scheduled.

If you have questions or require assistance, please contact FINRA at (800) 999-6647.