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Financial Industry Networking Database (FIND) FAQ

Information for Candidates

Information for Financial Services Firms

Information for Candidates

Eligibility

1. Am I automatically signed up for the FIND service?

No, you must actively opt in to the FIND service if you are interested in participating.

2. I did not sign up for the FIND service when I enrolled for the exam. Can I still join?

If you are eligible, you can opt in to the FIND service any time.

3. I originally opted in to the FIND service but now want to opt out of the FIND service. How do I do that?

You can opt out of the FIND service at any time. To do so, log back into the Test Enrollment Service System (TESS), click the update profile link, and opt out of the FIND service.

4. Why can I not opt in to the FIND service?

The FIND service is currently only available for those individuals who have enrolled to take the SIE, are not registered with a broker-dealer, and have not had a broker-dealer or FINRA pay for their SIE exam.

5. A broker-dealer paid for my SIE exam. Can I opt in to the FIND service?

If a broker-dealer has directly paid for your SIE exam, you are unable to opt in to the service for six months from the enrollment window start date.

6. A firm paid for my friend's SIE exam, but they can opt in to the service. Why can't I?

FINRA only limits opting in to the FIND service when it can definitively identify that the exam was paid for by a broker-dealer. If a broker-dealer has paid for your exam using FINRA's Flex Funding Account, you will not be eligible to opt in to the service until six months from the enrollment window start date.

7. A broker-dealer paid for my first attempt at the SIE exam, but I paid for my second attempt. Am I eligible for the service?

A candidate's eligibility is based on their last SIE enrollment. Therefore, if you paid for your most recent SIE exam, you will be eligible for the FIND service.

Candidate Information in FIND

8. What information must I provide to participate in the FIND service?

You may provide as much or as little optional information as you choose. The only required information is that needed to administer the SIE exam. These elements include name, Social Security number or mother's maiden name, date of birth, mailing address, email address, and SIE exam status. All other information found in the FIND service is optionally provided by the candidate.

9. Will FINRA tell firms that I have failed the SIE exam or the number of attempts it took to pass the SIE exam?

No, FINRA will only indicate if a candidate has passed the SIE exam. If you have not yet taken or passed the exam, FIND will indicate that you have not yet completed the SIE exam.

10. Will FINRA provide my Social Security number (SSN) to firms?

No, an individual’s SSN is not part of the FIND service.

11. Will FINRA provide my mailing address to firms?

No, your mailing address is not provide to firms. If you provide the optional information, current geographic location and the locations you indicated you are willing to relocate are provided.

Information Use

12. In what other ways will FINRA use the information I have provided?

FINRA will not distribute the information to third parties beyond the specific uses that you have granted. At this time, you have only authorized distribution for the purpose of providing lists for potential employment and contracting with financial services firms. In the event that other services are offered, FINRA will contact you and allow you to opt in to the new services. FINRA may use your information in an anonymous manner for research on qualification exam performance and distribution of performance on an aggregate basis.

13. Can I have my information removed from the FIND service?

FIND participants may log in to FINRA's Test Enrollment Services System (TESS) and delete all optional information maintained by the service. Due to industry obligations, FINRA will continue to maintain (but not distribute) the information necessary to properly maintain a record of your qualification exam testing. Note: FINRA can only remove information stored by FINRA. Information that you are requesting removal of may have already been distributed to a firm during the period within which you had opted in to the service.

14. How do I know who has received my information?

FINRA cannot guarantee that your information will be requested by financial services recruiting firms. However, you may request a list of firms to which FINRA distributed your information by contacting FINRA.

15. I am choosing to opt out of the FIND Service or not to participate. Can firms still validate that I have passed the SIE exam?

Firm have the ability to use a separate service to validate an individual's SIE status. To use this service, the firm must receive written consent from the individual they are searching.

Automatically Opted Out

16. Why was I automatically opted out of the FIND service?

A candidate can be automatically opted out of the FIND service for a variety of reasons, most commonly that the candidate has obtained an active or approved securities registration with a broker-dealer. However, a candidate may also be opted out for test administration reasons (e.g., failure to successfully pay for the exam).

17. Will I be notified if I am automatically opted out of the FIND service?

Yes, if you are automatically opted out of the FIND service, you will receive an email from [email protected]

Fees for Candidates

18. How much does it cost for an individual to participate in the FIND service?

There is no fee for an individual to opt in to the FIND service.

Contacts

19. Who can I contact for help?

FINRA support staff is available via email and phone at (301) 590-6500.

Information for Financial Services Firms

20. How can my firm use FIND?

Firms interested in FIND should email us. The FINRA support team will follow up in one to two business days.

21. Are there any eligibility requirements for firms?

At this time, only registered broker-dealer firms can use FIND. Participating firms must also agree to the FIND Terms and Conditions.