Qualification Exam FAQ

Effective January 19, 2027, the waiting periods for retaking FINRA qualification exams will be reduced as follows:

• 15 days (from 30 days) after the first and second unsuccessful attempts, and
• 60 days (from 180 days) after the third 

The new waiting periods will automatically apply to new enrollments and any open enrollments without an appointment. Candidates who have a scheduled exam retake appointment after January 19, 2027, should review whether cancelling and rescheduling for an earlier date is beneficial as rescheduling fees may apply.

January 19, 2027, is the first date FINRA is able to reduce a candidate’s waiting period and requests prior to this date will not be processed.

For additional information, visit FINRA Regulatory Notice 26-18 and the FINRA Qualification Exam FAQ.

For information about NASAA exams, visit https://www.nasaa.org/exams/exam-faqs/.

For questions related to this communication, contact [email protected] for assistance.