On the Day of Your Qualification Exam
COVID-19 Guidance on FINRA-Administered Exams
Please see the complete message including information about online test delivery.
On This Page
- Gaining Admission to the Testing Room
- In the Testing Room
- Test Results
- Concerns about Your Testing Experience?
- Inclement Weather Policy
- Be sure to review your confirmation email for important appointment details.
- Bring and wear a mask during the entirety of your time at the test center. Both medical masks or cloth face coverings are acceptable. If you arrive at the test center without a mask, you will not be allowed to test.
- Please plan to arrive 30 minutes before your scheduled appointment to allow time for check-in procedures. You may be allowed to start your exam early if a seat is available.
- You will not be allowed to test if you arrive later than 30 minutes after your appointment start time and a seat is unavailable to accommodate your full testing time. You, or your firm, will be required to open and pay for a new enrollment before rescheduling your appointment.
- Bring one valid, government-issued identification with a signature and picture, such as an unexpired driver’s license, passport or military ID. Note: Government-issued IDs with expiration dates from Feb. 1, 2020, forward will be acceptable for testing until governmental issuing entities resume operations.
- Ensure that your name on this ID is the exact same name under which your exam is scheduled. No electronic, photocopies or faxes of ID or of name change documentation will be accepted.
- Remember the email address that was used when you scheduled your appointment. Test center staff may ask for this information at check-in. For example, if your firm scheduled the appointment, most likely your appointment is under the firm’s email address.
Inspection and Sign-in Requirements
- You will be required to stand on the “stand here” sign or “X” in place on the floor, which designates a safe distance away from the test center staff.
- You will be required to stow any personal items in an assigned locker. These include but are not limited to: electronic devices, cameras, phones, any communication or recording devices, watches, purses, wallets and jewelry. Important note: Do not bring study materials to the test center! View more details about prohibited and permitted personal items.
- You will be required to show that you are not in possession of any prohibited items by verifying your pockets are empty, pulling up your pant legs and pulling back your sleeves.
- Your picture will be taken, and your ID will be inspected. You will need to lower or momentarily remove your mask for this process.
- You will be required to sign the center’s sign-in log using a Prometric-supplied pen. The pen will then be placed into a locker with your personal belongings.
- You will be required to agree to abide by FINRA's Rules of Conduct (see links below) and Prometric’s Testing Center Security Guidelines. If you refuse to abide by the exam center’s security guidelines and/or protocol, you will not be allowed to test. A late fee will be charged to your firm, or you will lose the paid exam fee. Any violation of the rules will subject you to possible disciplinary action, including forfeiture of your test results.
- If you are taking any FINRA exam, you will be required to agree to FINRA’s Qualification Examinations Rules of Conduct.
- If you are taking an MSRB, NFA or NASAA exam, you will be required to agree to FINRA’s Test Center Rules of Conduct.
If you are taking a test outside of the U.S. and/or its territories, there may be additional requirements. For instance, you must sign the FINRA Data Processing Consent Form, which will be provided to you upon arrival at the testing site.
Remember, FINRA exams are closed-book. You are not permitted to use reference materials for the duration of your appointment. Your actions in the testing center are video- and audio-monitored. The impacts of cheating are severe and could result in an invalidation of your exam results or prohibition from retaking an exam or registering with a FINRA member firm.
You will be provided with the materials listed below, which must be returned at the end of your appointment.
Note: Materials are thoroughly cleaned before each test appointment.
- Four-function calculator – personal calculators are not permitted
- Scratch paper
- Noise cancelling headphones – available at each testing station
- Tissues – available upon request
Breaks are only permitted for restroom use. You will not be permitted to leave the center or access your locker. Your exam timer will not pause.
For more information about what to expect at the testing center, visit Prometric’s website.
To learn more about the exam format and navigation, please watch our tutorial.
If your exam is delivered via computer, you will receive your test results on the computer screen shortly after you complete your exam. You will also receive a printed copy of your pass/fail results report.
If you receive a pass result, no additional scoring details will be provided. However, if you receive a fail result, additional details regarding your exam performance will be provided in the results report, including your overall exam score and your performance on each of the topic sections on the exam. This information is provided to help inform your study efforts should you retest at a later date.
Equating of Scores
In some cases, the results report will indicate that the score provided is an equated score. If that is the case, then your test score is being placed on a common scale with all other candidate test scores for that exam and statistical adjustments are made to the score to account for slight variations in the difficulty that may exist among different sets of exam questions. This method allows for a fair comparison of scores and ensures that every candidate is held to the same passing standard regardless of which set of exam items they received.
If You Do Not Pass
If you do not pass a qualification exam, a waiting period will apply based on FINRA Rule 1210 Supplementary Material .06. Generally, you may take the exam again 30 days after the date of the prior exam. However, if you fail the exam three or more times in succession, you must wait until 180 calendar days have elapsed since the date of your last attempt to pass the exam.
- Registered with a FINRA member firm? To take an exam again, your firm must re-request the exam for you through CRD®. Another exam fee will be charged. You will then receive a new 120-day enrollment period to schedule the exam appointment.
- Not affiliated with a FINRA member firm? Non-member applicants must submit a new request and repay the exam fee using the Test Enrollment Services System (TESSTM) to secure a new valid enrollment.
If you have any suggestions or concerns regarding your testing experience, you may provide your input to FINRA in the survey at the conclusion of your exam. Upon exiting the testing room, be sure to speak to the exam center personnel and ask to file an incident report. You may also contact your firm’s registration department to follow up.
If you have questions or require assistance, please contact FINRA’s Gateway Call Center at (301) 590-6500.
An exam candidate who wishes to challenge the content of one or more questions on their FINRA exam must complete and submit the FINRA Exam Question Challenge Form within 30 days of the date they tested. The challenge must be specific in nature. FINRA will review the question or questions specified in the challenge form and provide a written response within 20 days of the receipt of your challenge form.
For a list of FINRA exams, including the Securities Industry Essentials® (SIE®) Exam, click FINRA Exams.
If severe weather or a natural disaster makes it difficult or unsafe to travel to the exam center, the exam session may be delayed or canceled. For details about delays and cancellations during severe weather, contact Prometric by visiting the Prometric Site Status page or calling (800) 578-6273.
If you have questions or require assistance, please contact FINRA at (800) 999-6647.