Exam Candidates Requiring Testing Accommodations

FINRA in compliance with provisions of the Americans with Disabilities Act (ADA) provides testing modifications and aids to individuals with disabilities and/or learning impairments that substantially limit a major life activity, such as learning, speaking, hearing and vision. FINRA makes arrangements to offer exams in a place and manner appropriate to persons with disabilities.

Candidates requesting testing arrangement for the first time must complete and submit the FINRA Testing Accommodations Request Form. Submissions without the appropriate form cannot be considered. For information about the availability of online testing, please see the Schedule an Exam page.

For candidates who have had previously approved testing accommodations, FINRA will automatically reapply the previously approved accommodations to subsequent enrollments within five business days. Therefore, candidates do not need to submit additional forms or documentation when taking additional exams unless different accommodations are being requested. Please note extra time will be determined by the exam lengths.

Candidates are free to suggest any sort of accommodation. However, FINRA will make the final decision for each case based on the documentation submitted. FINRA will notify the candidate or member firm in writing what accommodation(s), if any, can be provided. Candidates are free to schedule an appointment with FINRA's testing vendor after their accommodation request has been granted.

Note: Candidates with transitory or temporary conditions that are not impairments or disabilities, such as pregnancy, sprains and fractures, are not eligible for testing accommodations under the ADA. If you are in need of an accommodation, you should contact FINRA for information about an arrangement that can handled on a case-by-case basis.

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What Aids or Services Can Be Provided?

All testing sites are wheelchair accessible for persons with disabilities. Modifications for testing arrangements to facilitate the use of the wheelchair as requested by the candidates (e.g., desks with appropriate height) are available.

Auxiliary aids or services that can be requested by candidates with disabilities include but are not limited to the following.

  • Extra administration time
  • A reader/recorder (to provide visual and/or computer navigational assistance)
  • Large print exam booklet
  • Private testing room
  • Online testing

Where feasible, the exam will be provided during normal business hours at the nearest convenient testing center.

FINRA Testing Accommodations Forms

The first part of the Testing Accommodations Request Form must be completed by the candidate or the registration/compliance department of the sponsoring firm. The second part of the Testing Accommodations Request Form must be completed by a professional who is licensed or whose credentials are appropriate to diagnose and treat the candidate's disability as well as make recommendations for appropriate testing accommodations.

FINRA will review the documentation and the professional's recommendation to determine whether it is reasonable, appropriate and will not alter the fundamental nature and purpose of the exam. FINRA may need to contact the professional in order to gain additional information about the nature of the candidate's disability and the candidate's testing needs. Based on this diagnosis and the associated recommendations, FINRA will consider the need for modification (e.g., extra time, reader) to the standard testing conditions. Then, FINRA will notify the candidate or member firm in writing as to what testing accommodation, if any, can be provided.

Credentialed/licensed professionals (e.g., psychologist, psychiatrist, physician) submitting the documentation and completing the form must have knowledge of the candidate's specific disability and current functioning. The qualified professional should also have a "professional/clinical relationship" with the candidate, having treated and/or consulted with the candidate within the past five years.

Documentation (e.g., professional reports/evaluations) of the existence and/or history of the disability must accompany the request for the testing arrangements. Persons with emotional or psychological disorders must submit documentation from an appropriate mental health professional and include a diagnosis from the Diagnostic & Statistical Manual Disorders (DSM).

The DSM is a complete psychological/psycho-educational report and identification of all professionally recognized standardized tests/assessments given to confirm the diagnosis. Persons with learning disabilities must provide a DSM diagnosis or another diagnosis from appropriate tests such as the Woodcock-Johnson or Wechsler Adult Intelligence Scale (WAIS).

A copy of the complete psycho-educational evaluation report on the standardized assessments for learning disabilities must be provided. All subtests and total scores must be reported. No request will be considered without the complete reporting of standardized assessments administered.

Documentation submitted (e.g., psycho-educational reports, test/assessment results) should be no more than five years old. If the documentation is more than five years old, the current licensed professional should confirm that the diagnosis remains current and explain how they arrived at the diagnosis. Any documentation submitted must establish the candidate's current functioning and need for testing accommodation.

The applicant is responsible for the cost of providing the documentation of the disability. However, there is no cost to the candidate for any modifications or auxiliary aids or services during or associated with the exam administration.

Please Note: All documentation and forms submitted are confidential. Information contained in these documents will be used solely for the determination of testing accommodations. No information will be released to anyone without the written consent of the candidate.

If you have further questions, please contact FINRA at (240) 386-4040.

Instructions To The Licensed Professional Completing The Form

You must be a licensed or qualified professional whose credentials are appropriate to diagnose and evaluate the candidate's disability. You are asked to make recommendations that are reasonable and appropriate for the candidate's disability in taking a computerized test. Your recommended accommodations should not fundamentally alter the measurement of the knowledge and skills that the exam is intended to assess. Your recommendations will be considered, but are not binding.

You must have diagnosed, treated/evaluated, or consulted with the candidate within the last five years, and you must have knowledge of the candidate's current functioning with the disability. The accommodations you recommend are based on your professional knowledge of the candidate and his or her disability.

You and the candidate should consult, and come to agreement as to the appropriate and reasonable accommodation(s) needed for the exam.

With the Testing Accommodations Request Form, please be sure to enclose copies of records/reports/evaluations/assessments that confirm the diagnosis. This documentation may be no more than five years old. If the documentation is more than five years old, confirm that the diagnosis remains current and explain how you arrived at the diagnosis. Any documentation submitted must establish the candidate's current functioning and need for testing accommodation.

A copy of the professional report on the standardized psychoeducational assessments given to identify a learning or related disability must be provided for those diagnosed. Test scores and their interpretation must be discussed in the report.

You must provide a DSM-5 (Diagnostic and Statistical Manual of Mental Disorders) or the most current version of the DSM Report; a diagnosis from other appropriate and professionally recognized, psychological or standardized educational assessment/evaluation (e.g., Woodcock-Johnson, Wechsler Adult Intelligence Scale, Nelson-Denny Reading Test) is also acceptable.

In the case of a psychological disorder (other than a specific learning disability) where no formal testing has been done, please include a psychological report that confirms the disability. Due to the sensitive nature of information this report may contain, you can prepare a profile summary that provides sufficient detail. The report should confirm the means by which the disability diagnosis was made, describe the candidate's current functioning, and confirm the need for testing accommodations. The report must be typed and presented on the professional's stationery/letterhead. The report should include the following information:

  1. Date of evaluation/observation;
  2. Date of report;
  3. Reasons for referral;
  4. Brief overview of general observations and identification of those behaviors which meet the DSM criteria for diagnosis;
  5. History of the course of the disability and current functioning;
  6. Any test results;
  7. Multiaxial format for DSM codes or listed diagnoses;
  8. Recommendations. The report should provide sufficient information to confirm the existence of the disability and establish the need for testing accommodation.

Frequently Asked Questions

Q. How do I become eligible for testing accommodations?

A. You are eligible for testing accommodations if you have a disability or a record of a disability within the meaning of applicable law, which results in you needing a change to the regular testing environment or needing to receive auxiliary aids and/or services to allow you to demonstrate your true aptitude or achievement level on the examination.

Q. Do I need to provide supporting documentation with my accommodation request and what must I provide?

A. You are required to provide supporting information and documentation to establish that you have a disability or a record of a disability. Additionally, you are required to provide supporting information and documentation demonstrating how your disability or record of disability creates limitations for you that impact your ability to complete a FINRA-administered exam.

This supporting information and documentation can be obtained from a licensed health care provider or otherwise qualified professional by completing the Testing Accommodations Request Form or through some other means and/or consist of educational assessments or psychological reports.

Q. Who can complete the licensed health care provider or otherwise qualified professional section of the Testing Accommodation Request Form for me?

A. Part Two of the Testing Accommodation Request Form needs to be completed by a licensed health care provider or an otherwise qualified professional whose credentials are appropriate to diagnose and evaluate your disability or record of disability and then make recommendations for testing accommodations. The professional must have treated and/or diagnosed you within the last five years and have knowledge of your current level of function.

Q. How long does it take to get accommodations approved for the first time?

A. The testing accommodations team typically reviews and responds to accommodation requests within 10 business days. Incomplete or insufficient information and/or documentation will delay processing.

Q. Unfortunately, I did not pass my exam on the first try. Do I have to submit another request for accommodations?

A. No. FINRA will reapply previously approved accommodations to your new exam enrollment within five business days of its creation.  Therefore, candidates do not need to submit additional forms or documentation unless different or increased accommodations are being requested.

Q. I passed my SIE exam, and now I need to take additional qualification exams. Do I have to submit another request for accommodations?

A. No. FINRA will reapply previously approved accommodations to your new exam enrollment within five business days of its creation. Therefore, candidates do not need to submit additional forms or documentation unless different or increased accommodations are being requested.

Q. At what point in the process can I open my exam window and schedule my appointment with Prometric?

A. The exam window should be opened prior to requesting testing accommodations. Candidates must be approved with accommodations prior to scheduling an exam appointment. It is recommended accommodations should be requested at the beginning of the exam enrollment to ensure sufficient time to schedule. 

Q. What if I have a learning disability but my evaluation is over five years old?

A. You are required to provide supporting information and documentation to: (1) establish that you have a disability or a record of a disability; and (2) demonstrate how your disability or record of disability creates limitations for you that impact your ability to complete a FINRA-administered exam. For #1, you may submit educational assessments or psychological reports, regardless of the age of the assessment or report. For #2, a licensed health care provider or otherwise qualified professional who has diagnosed or treated you within the last five years and has knowledge of your current level of functioning should complete Part Two of the Testing Accommodations Request Form.

Q. What if the doctor that diagnosed me isn’t practicing medicine anymore? Do I have to get tested again?

A. As noted above, you are required to provide supporting information and documentation to: (1) establish that you have a disability or a record of a disability; and (2) demonstrate how your disability or record of disability creates limitations for you that impact your ability to complete a FINRA-administered exam. For #1, you may submit medical records, regardless of their age or whether the provider is still practicing medicine.  You will not need to be tested or diagnosed again. However, for #2, a licensed health care provider or otherwise qualified professional who has diagnosed or treated you within the last five years and has knowledge of your current level of functioning should complete Part Two of the Testing Accommodations Request Form.

Q. Can I submit a self-assessment to establish that I have a disability?

A. A self-assessment or self-reporting is generally insufficient to establish that you have a physical or mental impairment that qualifies as a disability within the meaning of applicable law.

Q. Will I get the same accommodations that I was approved for in high school/college?

A. Not necessarily. We review each request on an individualized, case-by-case basis, assessing the need for accommodations as it relates to your disability or record of disability.

Q. Can I request to take my exam remotely?

A. The Securities Industry Essentials SIE exam is available to be taken remotely. All other FINRA exams will be administered in a test center. Exceptions may be provided to individuals who are experiencing underlying health conditions or are immunocompromised and at an increased risk for severe illness.

Q. Do I need accommodations for my medication and/or medical device?

A. The testing centers allow certain medication or medical devices without needing to have them approved in advance as accommodations. Permissible items can be found at: https://www.prometric.com/test-owners/resources/testing-accommodations-pre-approved-items

Q. I have a transitory or temporary medical condition. Am I eligible to apply for testing accommodations?

A. Transitory or temporary conditions, such as sprains or broken bones, do not typically rise to the level of being considered a disability within the meaning of applicable law. As such, they would not typically form the basis of or qualify for testing accommodations. If you have a physical or mental impairment that you believe rises to the level of a disability within the meaning of the law, please contact us to request an accommodation or discuss your situation and appropriate arrangements.

Q. Does my firm need to be involved in the testing accommodations request?

A. No. Your firm can be involved but it is not necessarily required to be involved in your testing accommodations request.

Q. I received an insufficient notification telling me to cancel my pending appointment, but I don’t want to lose that time slot. What can I do?

A. Unfortunately, accommodations must be approved and added to an enrollment before a candidate schedules an appointment. FINRA does not have the ability to add accommodations to an enrollment while an appointment is pending. Therefore, you will need to cancel the appointment and schedule a new one after the accommodations are added to your enrollment.