Candidates with Limited English Proficiency (LEP)
Individuals with LEP are persons who do not speak English as their primary language and have limited ability to read, speak, write or understand English. (See FINRA Information Notice 8/1/12.)
Candidates whose primary language is not English must meet the LEP criteria to be eligible to receive additional time to complete a qualification examination. A FINRA-registered firm or a non-FINRA firm that uses CRD registration must certify that an individual is eligible for LEP in order for a candidate to receive extra time based on the length of the qualification exam. Securities Industry Essentials© (SIE©) exam takers must complete a web-based LEP Request Form to FINRA for processing.
| Exam Appointment | Extra Time Allowed |
|---|---|
| up to 2 hours long | 30 minutes |
| more than 2 hours long | 60 minutes |
How to Request Additional Time
The process for requesting additional time for a qualification exam depends on whether the LEP-eligible candidate is sponsored or unsponsored. SIE exam takers must complete a web-based LEP Request Form.
Sponsored Candidates
LEP-eligible candidates who are associated with a FINRA-registered firm or a non-FINRA firm that uses CRD to register candidates with other CRD participating regulators must follow certain protocols to be granted extra exam time.
1. Request the applicable exam window.
Open the appropriate enrollment window in Web CRD using the Form-U4 (Uniform Application for Securities Industry Registration or Transfer Form.)
2. Complete and retain the hard-copy LEP Attestation Form.
LEP-eligible candidates and their firms must continue to complete the hard-copy LEP Attestation Form, retain a copy in their records and produce the form upon regulatory request. Candidates do not need to send the form to FINRA.
3. Submit the LEP Request via the Non-Filing Information (NFI) Individual functionality in CRD.
Firms must submit all LEP requests for additional time using CRD. For step-by-step instructions, reference the LEP Request User Guide. Note: Sponsored SIE exam takers must complete a web-based LEP Request Form to FINRA for processing.
4. Schedule an Appointment
- For requests submitted through CRD: Firms can schedule exams immediately after submission.
- For sponsored SIE exam takers completing the web-based LEP Request Form please allow five business days for processing. Please wait to be notified by FINRA before scheduling an appointment.
Unsponsored Candidates
LEP-eligible candidates that are not sponsored by a firm or candidates who are taking the SIE and have enrolled for a qualification exam must complete the following protocols to be granted extra exam time. Unsponsored and SIE requests should allow approximately 5 business days for FINRA to process the web-based LEP Request Form to receive confirmation before scheduling an appointment.
- Submit a Web-based LEP Request Form - Complete the web-based LEP Request Form. The request for additional time will apply to all eligible open enrollments at the time of processing.
- Receive a Response to Your Request - Within five business days of submission, the web-based LEP Request Form will be reviewed and FINRA will provide notification via email either that the initial submission was incomplete and provide additional instructions; or that the request was approved and has been processed.
- Schedule Exam with Prometric. Once the request is approved, candidates can schedule their exam appointment. Candidates can schedule an appointment online using www.prometric.com/finra or by calling their Contact Center toll-free at (800) 578-6273.
Retaking an Exam and Subsequent Exams
If you do not successfully complete an exam and need to retake it, FINRA will reapply LEP time to your new enrollment period within five business days. Do not schedule your testing appointment until you have been notified via email that extra time for LEP has been added to your enrollment(s).
FINRA will reapply previously approved LEP time to subsequent exams that are opened within 5 years of your initial LEP approval date. Therefore, candidates do not need to submit additional requests.
Notes
Test center personnel are not permitted to provide additional time for LEP candidates at their discretion without prior authorization from FINRA.
Any misrepresentations of LEP eligibility may result in a disciplinary action or proceeding against you and/or your firm by the sponsoring organization (i.e. the self-regulatory organization, state or bank regulator), as appropriate.