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NASAA Qualification Examinations Rules of Conduct

The purpose of this notice is to make sure you understand and agree to the Qualification Examinations Rules of Conduct for examinations administered in test centers or remotely. You are required to agree to all of the following Rules of Conduct before starting your examination.

Testing personnel are NOT authorized to grant exceptions to any of these rules.

Personal Items

I understand and acknowledge that:

  • For the duration of my examination, I will not use or attempt to use any personal items, such as:
    • electronic devices and cameras;
    • phones;
    • any communication or recording devices;
    • watches;
    • personal notes and study materials; and
    • eyewear with any electronic modification (other than a FINRA-approved accommodation).
       
  • For testing in test centers, I will store all personal items in the locker provided by the test vendor prior to entering the test room. If I bring a personal item into the test room, I will turn over any such items to the test center staff for inspection. These items may not be returned to me.
  • For testing remotely, I will store all personal items outside of the room in which I am taking the examination prior to testing.

Behavior/Conduct

I understand and acknowledge that:

  • I will not engage in any conduct that is disruptive, disrespectful or threatening. Further, I will not engage in any conduct that creates a disturbance or interferes with testing operations.
  • I will not act unethically, dishonestly or unfairly, which includes cheating or attempted cheating to gain or attempt to gain an advantage on the examination.

Unscheduled Breaks

I understand and acknowledge that:

  • Unscheduled breaks are permitted only for restroom use.
  • For testing in test centers, if I take an unscheduled break during my session, I will not access my locker, leave the building or access, use or attempt to use any personal items, and I will not receive additional time to complete the examination session. In addition, following any unscheduled break, I will have to repeat the security check-in process, and I will not receive additional time to complete the examination session.
  • For testing remotely, if I take an unscheduled break during my session, I will not access, use or attempt to use any personal items, and I will not receive additional time to complete the examination session. In addition, following any unscheduled break, I will have to repeat the security check of my testing environment and person, and I will not receive additional time to complete the examination session.
  • For testing both in test centers and remotely, repeated or lengthy departures from the test room for unscheduled breaks may result in the termination of the examination session and will be reported to FINRA for investigation.

Assistance

I understand and acknowledge that:

  • I will not receive or attempt to receive assistance related to examination content from any person for the duration of my session.
  • If testing remotely, no other persons shall be present in the test room during testing.
  • I will not provide or attempt to provide assistance related to examination content to any other person for the duration of my session.

Confidentiality

I understand and acknowledge that:

  • Examination content is the property of FINRA or the organization(s) that developed the content. I will maintain the confidentiality of this content, including the questions and my answers to the questions.
  • I will not remove or capture or attempt to remove or capture, whether through physical means, a recording device or otherwise, any written, printed, electronic or recorded examination content.
  • I will not reproduce or attempt to reproduce examination content through memorization or any other means. This prohibition includes but is not limited to discussing, posting or disclosing such content via email, social media or other internet presence, or otherwise. This prohibition applies before, during and after my session.
  • I will not disclose or discuss with anyone, including training instructors, information about examination content.

Attestation/Candidate Agreement

I understand and acknowledge that:

  • I am the person I represent to be for this session.
  • I will be monitored at all times during the session to ensure that strict adherence to security measures is maintained by all persons. Monitoring may include recording of audio, video and keystrokes.
  • I am not qualified to engage in the investment banking or securities business based solely on passing an examination, and I may not misrepresent my qualifications to the public subsequent to passing an examination.

For candidates who are applying to register with a FINRA or other self-regulatory organization (SRO) member firm or are associated with a FINRA or other SRO member firm:

I understand and acknowledge that:

  • If I do not follow the Qualification Examinations Rules of Conduct, including these attestations and agreements, or I am suspected of tampering with the test result report, the incident will be reported to FINRA and will subject me to possible disciplinary action by FINRA, another SRO, the Securities and Exchange Commission, or any other regulator (government or private) that has jurisdiction over my activities.
  • My violation of the Qualification Examinations Rules of Conduct may result in a range of consequences, including being barred from employment or association within the financial services industry, being prohibited from retaking an examination, or forfeiting my session results.
  • If I am associated with a FINRA member firm, a violation of the Qualification Examinations Rules of Conduct, including these attestations and agreements, would be deemed to be a violation of FINRA Rule 2010 (Standards of Commercial Honor and Principles of Trade).

For candidates who are not associated with a FINRA or other SRO member firm:

I understand and acknowledge that:

  • If I do not follow the Qualification Examinations Rules of Conduct, including these attestations and agreements, or I am suspected of tampering with the test result report, the incident will be reported to FINRA.
  • My violation of the Qualification Examinations Rules of Conduct may result in a range of consequences, including being prohibited from registering with any FINRA member firm, or any other regulator (government or private) that has jurisdiction over my activities, being prohibited from retaking an examination, and forfeiting my session results.