NASAA Qualification Examinations Rules of Conduct

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

Testing personnel are NOT authorized to grant any exceptions to 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, including but not limited to:
    • personal notes and study materials;
    • phones;
    • cameras;
    • recorders;
    • watches;
    • eyewear with electronic capabilities (other than a FINRA-approved accommodation); and
    • any other communication or recording device.
       
  • For testing in test centers: I will store all personal items in the locker provided by the test vendor before entering the test room. If I leave any personal item anywhere in the testing center outside of my locker, the test center will collect the item for inspection and it 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 before I begin testing.

Behavior/Conduct

I understand and acknowledge that:

  • I will not engage in any conduct that is disruptive, disrespectful or threatening, nor will I engage in any conduct that creates a disturbance or interferes with testing operations.
  • I will not act unethically, dishonestly or unfairly to gain an advantage on my examination, including by cheating or attempting to cheat.

Unscheduled Breaks

I understand and acknowledge that:

  • Unscheduled breaks are permitted for restroom use only.
  • For testing in test centers: If I take an unscheduled break during my session, I will not access my locker, leave the building, use or attempt to use any personal items. Following any unscheduled break, I will have to repeat the security check-in process. 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. In addition, following any unscheduled break, I will have to repeat the security check of my testing environment and person. 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 and any other applicable regulator or self-regulatory organization (SRO) for investigation.

Assistance

I understand and acknowledge that:

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

Confidentiality

I understand and acknowledge that:

  • Examination content is the property of NASAA. I will maintain the confidentiality of this content, including the questions and my answers.
  • I will not remove, capture, or attempt to remove or capture any examination content by any means whatsoever.
  • 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 by email, social media, internet postings, or otherwise. This prohibition applies before, during and after my session.
  • I will not disclose or discuss information about examination content with anyone, including training instructors.

Attestation/Candidate Agreement

I understand and acknowledge that:

  • I am the person I represent to be for this session.
  • I will follow the Qualification Examinations Rules of Conduct fully.
  • I will be monitored at all times during the examination 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 after passing an examination.

For candidates who are applying to register with, or are associated with, a member firm of FINRA or another SRO:

I understand and acknowledge that:

  • If I do not follow the Qualification Examinations Rules of Conduct, or if I am suspected of tampering with the test result report, the incident will be reported to FINRA and any other applicable regulator, which may subject me to 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 the termination of my examination session, the forfeiture of my examination result, being prohibited from retaking an examination, and being barred from employment or association within the financial services industry.
  • If I am associated with a FINRA member firm, a violation of the Qualification Examinations Rules of Conduct would be deemed to be a violation of FINRA Rule 2010 (Standards of Commercial Honor and Principles of Trade).

For candidates not associated with a member firm of FINRA or another SRO:

I understand and acknowledge that:

  • If I do not follow the Qualification Examinations Rules of Conduct, or if I am suspected of tampering with the test result report, the incident will be reported to FINRA and any other applicable regulator, which may subject me to disciplinary action by 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 the termination of my examination session, the forfeiture of my examination result, being prohibited from retaking an examination, being prohibited from registering with any SRO or regulator (government or private) that has jurisdiction over my activities, and being barred from employment or association within the financial services industry.