Test Center Security Guidelines

Test center security is of the utmost importance when taking an examination or CE session at a test center facility. Test center staff, for the protection of the candidate, test developer, and test center staff alike, must strictly enforce security procedure and protocol.

Any violation of the FINRA Test Center Rules of Conduct will subject the examination or CE candidate to possible disciplinary action by FINRA, another self-regulatory organization, or the Securities and Exchange Commission and could result in being barred from employment/association with any securities dealer.

Member firm candidates refusing to abide by a vendor's security procedure and/or protocol will be refused entry to the testing lab and a late cancel fee will be charged to the candidate's firm. Form U10 candidates will be denied entrance as well and their enrollment window will be forfeited.

Candidate Identification & Entry Requirements

Candidate Identification & Entry Requirements Pearson VUE Prometric
Electronic Fingerprint or Palm Vein (a digital palm scan) Yes No
Empty and turn pockets inside out Yes Yes
Image capture Yes Yes
Metal Detector Wand (For complete details, please review Prometric’s Metal Detector Wand Scanning and Prometric’s Test Center Regulations) No Yes
One (1) form of valid, government-issued ID containing both a photo and signature Yes Yes

Personal Items

  • Weapons of any kind are strictly prohibited from being taken into a test center facility at any time.
  • Cellular phones, hand-held computers or other communication devices, electronic or otherwise, are strictly prohibited from being taken into a testing room or being used during restroom breaks.

Most personal items are required to be placed in the center-provided storage locker.  However, the following items are allowed in the testing room (some with restrictions):

Personal Items Pearson VUE Prometric
Asthma inhaler Yes (requires pre-authorization from FINRA) Yes (requires pre-authorization from FINRA)
Cough drops Yes (unwrapped) No
Eye drops Yes (requires pre-authorization from FINRA) Yes (requires pre-authorization from FINRA)
Eyeglasses and hearing aids Yes Yes
Insulin pump (attached to a person's body) Yes (after inspection) Yes (after inspection)
Jewelry Yes - ring, bracelet, necklace, earrings Yes - ring, bracelet, necklace, earrings (subject to inspection)
Neck brace or collar (neck injuries) Yes (after inspection) Yes (after inspection)
Nitroglycerin pills Yes Yes
Other medical devices Yes (requires pre-authorization from FINRA) Yes (requires pre-authorization from FINRA)
Pillow (neck, back, injured limb support) Yes (after inspection) Yes (after inspection)

Sweater, sweatshirt, blazer, suit jacket

Yes (pockets must be empty) Yes (must be worn by candidate - cannot be draped on chair)
Tissues Yes Yes (center provided)
Word to word translation dictionary – Candidates with limited English proficiency (LEP) Yes (after inspection) Yes (after inspection)

Note:  Candidates requiring pre-authorization from FINRA to take medical devices into the testing room can contact FINRA Field Support Services (FSS) at (800) 999-6647 Option 2.

Test-Center Provided Aids

Test-Center Provided Aids Pearson VUE Prometric
Tissues Yes Yes (center provided)
Writing Materials (for notes and calculations) Yes - whiteboard/dry erase pens Yes - whiteboard/dry erase pens