Reschedule or Cancel Your Appointment
If you need to reschedule or cancel your qualification exam appointment, you 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 fee at the time the appointment is changed.
Remember, FINRA does not have a hardship policy if you’re unable to take an exam. If you miss your enrollment period for any reason, the cost of the exam will not be refunded or applied to another examination.
Inclement Weather Policy
If severe weather or a natural disaster makes it difficult or unsafe to travel to the exam center, the exam may be delayed or cancelled.
Visit the Prometric Site Closure page or call (800) 578-6273 for a list of centers closed due to inclement weather.
Reschedule / Cancellation Policy
Cancelling or rescheduling will be considered timely if it is handled according to the cancellation/reschedule timeline below. If a holiday occurs during the normal cancellation period, this schedule adjusts to define “timely cancellation” as one day earlier than stated below.
To avoid late cancel/reschedule fee (within two business days of appointment), the appointment must be cancelled or rescheduled by midnight, Eastern Time (ET) on the day shown in the second column.
To avoid three – 10 business day cancel/reschedule fee, the appointment must be cancelled or rescheduled by midnight, Eastern Time (ET), on the day shown in the third column.
|Appointment is scheduled for||Within two business days||Within 3 – 10 business days|
|Sunday, Monday||Wednesday of the preceding week||Sunday two weeks before|
|Tuesday||Thursday of the preceding week||Monday two weeks before|
|Wednesday||Sunday of the same week||Tuesday two weeks before|
|Thursday||Monday of the same week||Wednesday two weeks before|
|Friday||Tuesday of the same week||Thursday two weeks before|
|Saturday||Wednesday of the same week||Friday two weeks before|
Three to 10 Business Day Cancellation/Reschedule Fee: If you cancel or reschedule an appointment within three to 10 business days of your scheduled appointment, you will be assessed a cancellation/reschedule fee as outlined above. At the time you cancel an appointment, Prometric will require a credit card payment to collect the fee.
Late Cancellation/Reschedule Fee (Within Two Business Days): If you reschedule or cancel an appointment within two business days of a scheduled appointment, or fail to show up, you will be assessed a fee equal to the fee of the exam. FINRA will charge this fee to your firm or, if you registered using the Test Enrollment Services System (TESSTM), you will forfeit the pre-paid fee. You then must open a new enrollment window—and pay the associated exam fee—before scheduling a new appointment.
As outlined below, appointments rescheduled or cancelled within 10 business days will incur the existing fee at the time the appointment is changed.
|Series||Examination||Within 2 business day cancellation/reschedule fee||Three – 10 business day cancellation/reschedule fee|
|SIE||Securities Industry Essentials (SIE)||$60||$30|
|3||National Commodities Futures Exam (CR)||$130||$65|
|4||Registered Options Principal Exam (OP)||$105||$52.50|
|6||Investment Company and Variable Contracts Products Representative Exam (IR)||$40||$20|
|7||General Securities Representative Exam (GS)||$245||$122.50|
|9||General Securities Sales Supervisor Options Module Exam (SU)||$80||$40|
|10||General Securities Sales Supervisor General Module Exam (SU)||$125||$62.50|
|14||Compliance Officer Exam (NYSE-CO)||$350||$175|
|16||Supervisory Analyst Exam (NYSE-SA)
[one or two parts depending on NYSE requirements]
|22||Direct Participation Programs Representative Exam (DR)||$40||$20|
|23||General Securities Principal Exam - Sales Supervisor (GP)||$100||$50|
|24||General Securities Principal Exam (GP)||$120||$60|
|26||Investment Company and Variable Contracts Products Principal Exam (IP)||$100||$50|
|27||Financial and Operations Principal Exam (FN)||$120||$60|
|28||Introducing Broker/Dealer Financial and Operations Principal Exam (FI)||$100||$50|
|30||NFA Branch Manager Exam (formerly, Branch Managers Exam – Futures)||$85||$42.50|
|31||Futures Managed Funds Exam||$85||$42.50|
|32||Limited Futures Exam - Regulations||$85||$42.50|
|34||Retail Off-Exchange Forex Exam||$85||$42.50|
|39||Direct Participation Programs Principal Exam (DP)||$95||$47.50|
|50||Municipal Advisor Representative Exam||$115||$57.50|
|51||Municipal Fund Securities Limited Principal Exam (FP)||$105||$52.50|
|52||Municipal Securities Representative Exam (MR)||$110||$55|
|53||Municipal Securities Principal Exam (MP)||$115||$57.50|
|54||Municipal Advisor Principal||$115||$57.50|
|57||Securities Trader Representative Exam (TD)||$60||$30|
|63||Uniform Securities Agent State Law Exam (AG)||$135||$67.50|
|65||Uniform Investment Adviser Law Exam (RA)||$175||$87.50|
|66||Uniform Combined State Law Exam (AG and/or RA)||$165||$82.50|
|79||Investment Banking Representative Exam (IB)||$245||$122.50|
|82||Private Securities Offerings Representative Exam (PR)||$40||$20|
|86||Research Analyst Exam (RS) Part I Analysis Module||$185||$92.50|
|87||Research Analyst Exam (RS) Part II Regulations Module||$130||$65|
|99||Operations Professional Exam (OS)||$40||$20|
If you have questions or require assistance, please contact FINRA’s Candidate Services department at (800) 999-6647.