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Online Test Delivery FAQ

1. Which exams can I take online without meeting additional requirements?

Online test delivery is available to candidates with open enrollment windows for the Securities Industry Essentials (SIE) exam. For all other exams, please review the Schedule an Exam page for instructions. 

2. What are the criteria to take exams other than the SIE online?

Effective June 9, 2023, the criteria to take NFA and FINRA exams (other than the SIE) online changed. Please review the Schedule an Exam page for complete and timely information. 

To take a NASAA exam online, candidates who are experiencing underlying health conditions or are immunocompromised and at an increased risk for severe illness should submit a testing accommodation form signed by a medical professional.

3. What are the technical requirements to test online?

A candidate must meet the technical and procedural requirements to test online.

4. How do you schedule an online appointment?

Candidates who are eligible to take a test online can schedule an appointment by accessing Prometric's scheduling page. From the navigation panel, candidates should select Schedule a Remotely Proctored Exam.

5. Do reschedule, late cancel or no-show fees apply?

Yes. If a candidate needs to reschedule or cancel their qualification exam appointment, they 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 the existing reschedule/cancellation fee at the time the appointment is changed or missed.

6. Are other testing accommodations available for online exam administrations?

At this time, FINRA is able to accommodate extra time for online appointments of candidates with an approved testing accommodation or limited English proficiency (LEP) request. FINRA is still testing various provisions to make additional online delivery accommodations available to candidates with disabilities. There are some accommodations that are not conducive to online testing, e.g., reader/recorder or paper and pencil delivery. A candidate should submit the TA Eligibility Questionnaire and TA Verification Request Form as they do today.

7. Where can I find additional information on the technical requirements to test online?

Information for taking an online test is available at on the Prepare for Your Online Test Appointment page. 

8. What if I'm unable to successfully complete the system readiness check?

At least one day before your scheduled test date, you should run the system readiness check and install the ProProctor application on the actual computer you will be using to take your test. This should prevent any last-minute technical issues from occurring just prior to your test appointment and provide time to address any issues. For additional guidance, please reference the ProProctor User Guide.

9. My internet connection is sometimes "spotty." What can I do to enhance my testing ability?

While internet connectivity varies, remember that all of your household internet connections are competing for bandwidth, including online gaming, streaming services, etc. You are encouraged to limit household internet usage during your test session. Additional suggestions to enhance your internet connectivity during testing can be found on Prometric's ProProctor Candidate Information page.
10. If I lose connection during my online test, will FINRA lose my test or will I resume where I left off?

Your test information will not be lost, and you can resume where you left off. However, you should make every attempt to log back in immediately to prevent the scoring of an incomplete test, which could result in a failure and subsequent waiting period. Once you log back in to the online testing platform, your test will resume from where you left off. 

11. When will I know my online test results?

Upon completing your online test, you will receive your unofficial pass or fail notification on screen. Within three business days, your test results will be validated, emailed to the address provided at the time of scheduling and posted to FINRA's systems. The test result email will also include a survey link for you to complete about your online testing experience.

12. I was unsuccessful with my online testing attempt. Is there a waiting period to retest online or at a testing center?

Yes, if you do not pass a qualification exam, a waiting period will apply based on FINRA Rule 1210 Supplementary Material .06. The same waiting period applies whether you opt to test at a local testing center or online.

13. How are online testing and testing at a local testing site different?

Similarities Between Online Testing and Testing in a Physical Testing Site
1. You should still log in 30 minutes before your scheduled appointment to complete the check-in process.
2. One valid, government-issued ID with a signature and picture must be shown. The ID used must match the name your appointment is scheduled under.
3. Your picture will be captured, and your ID will be captured and verified.
4. You will undergo a visual person check including a sleeve, pocket and glasses check.
5. You are required to abide by FINRA's Rules of Conduct for Online Testing as well as Prometric's Security Guidelines/protocols.
6. You are video- and audio-recorded in your selected online testing environment.
Differences/requirements for Candidates Testing Online
1. Technical requirements: You will need to download and install an application that will perform a system check to ensure your laptop or desktop operating system meets the minimum requirements. This must be done on the computer that you will use on the day of testing.
2. 360-degree view: You will be required to complete a 360-degree view of your workstation and surrounding environment. You can use either an external, movable USB cable camera or an embedded computer camera. Candidates who use an embedded computer camera will also require a large, free-standing mirror able to reflect the unseen areas, e.g., the laptop face, the keyboard, underneath the base of the laptop, etc.
3. Your visual person check will include a check of your ears to ensure nothing that could provide an unfair advantage is used, e.g., Bluetooth earpiece.
4. You are not allowed to use a personal calculator or scratch paper. Online exams have an onscreen calculator and a virtual notepad to capture your notes digitally.