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COVID-19 Guidance on FINRA-Administered Exams

Please see the complete message including information about online test delivery.

Beginning June 9, 2023, candidates will need an approved accommodation to schedule an online appointment for an NFA or FINRA exam (other than the SIE). Online appointments scheduled to be taken after Sept. 9, 2023, will be canceled if the candidate does not have an approved accommodation. 

Learn more in the How to Schedule an Appointment to Take an Exam Online (Remotely) section below.

 

After a candidate is enrolled to take an exam, FINRA will post a 120-day window in which the exam must be taken. Candidates can schedule an appointment with Prometric, our test delivery vendor, to take their exam at a local test center (or for select exams, delivered online with a remote proctor). Candidates are encouraged to schedule their exam session as far in advance as possible to secure their desired exam date. Refer to the information to learn more about how to schedule an appointment to take exams online and at a local test center.

Note: Currently, most testing accommodations are only available for appointments delivered at a test center. However, additional time can now be administered to online exam appointments for candidates with an approved testing accommodation or limited English proficiency (LEP) request. FINRA is still testing various provisions to make additional online delivery accommodations available to candidates with disabilities.

 

On This Page

 

How to Schedule an Appointment to Take an Exam at a Local Test Center

Please ensure that the candidate has an open enrollment window. An appointment can be scheduled at a test center either through Prometric's scheduling page or by calling their Contact Center toll free at (800) 578-6273 during core hours including Monday through Friday 8 a.m. – 8 p.m. ET and Saturday through Sunday 10 a.m. – 4 p.m. ET, excluding federal holidays. Please visit the Prometric Test Center Closures and Prometric Test Center Policies pages for more information.

Note: For assistance regarding test center capacity in a particular area and/or firms with bulk or group scheduling capacity needs, please contact Prometric at [email protected].

Prometric will need to know the candidate's:

  • name and FINRA ID# (CRD # or Assigned "T" or "U" ID), 
  • phone number where the candidate or your firm can be reached, and
  • the name of the exam or its identifying series ID (e.g., Series 7).

It is possible for a candidate to schedule two different exams on the same day or on different days. Candidates must select each exam individually and complete individual appointment transactions.

It is the scheduler's responsibility to ensure that appointments do not overlap. Appointment availability will vary by test center location.

If a candidate needs to reschedule or cancel their qualification exam appointment, they must do so in a timely manner according to the reschedule/cancellation policy. For additional information on rescheduling, refunds and other related impacts, visit Prometric's COVID-19 FAQ.

 


How to Schedule an Appointment to Take an Exam Online (Remotely) 


Before Scheduling an Online Test Appointment  

There are a number of technical and procedural requirements a candidate must meet and be aware of before scheduling or sitting for an online test appointment with Prometric. Please carefully review the information provided in this section to ensure eligibility. Detailed information is also available about what a candidate's online test experience will be like on the day of your exam.

  • Required Hardware Equipment: For online test delivery, a candidate is encouraged to use a computer with a movable camera so that the check-in agent can perform a thorough 360-degree view of the candidate's workstation and surrounding environment. If a movable camera is not available, an undocked laptop with a built-in camera and a sufficiently sized mirror to ensure the 360-degree view can be used. A candidate with neither of these will not be permitted to test, and the applicable fee will be charged.
  • Required Internet Access & Software Download:
    • A candidate using equipment connected to a home wired/wireless connection should be able to download and install the required ProProctor application as well as perform a system check. For complete details, please review the ProProctor User Guide.
    • A candidate using company-issued equipment on their company's network should consult their firm's technology team about required firewall rule and whitelisting changes. Firms should review the detailed technical resources page to facilitate their technology team's efforts to ensure their candidates will be able to test online remotely. 
    • Managing Home Network to Maximize Bandwidth: Wi-Fi is a great way to connect, but like any wireless connection, there can be fluctuations in speed, reliability concerns with your home network and performance issues with a local internet service provider. Taking a long exam opens up more possibilities for these disruptions to occur. To help ensure candidates are able to take their exam, a stable connection for an online exam is essential. Here are some things you could consider:
      1. Have a stable connection;
      2. Identify the most suitable testing area in their house where Wi-Fi is strongest and test there; and
      3. During your test, do not have other members of the household using internet bandwidth with streaming services (e.g., Netflix, Hulu), social media, online gaming, etc.
    • Additional suggestions to enhance a candidate's internet connectivity during testing can be found on Prometric's ProProctor Candidate Information page.
    • Firms interested in facilitating online testing appointments on company-issued equipment over a corporate network should review the online testing technical resources page for firms.
  • Required Open Enrollment Window: A candidate must have an open, unscheduled enrollment window to schedule an online test appointment. If a candidate already has an appointment scheduled at a local test center but is eligible and wants to change to an online test appointment, the existing test center appointment must be canceled. An online test appointment can then be scheduled. Rescheduling fees may apply.

 


Request an Online Appointment for the SIE Exam 

The Securities Industry Essentials (SIE) exam is available for online test delivery to any candidates with open enrollment windows. Candidates can schedule an online appointment for the SIE exam by accessing Prometric's scheduling page and selecting the appropriate link.
 


Request an Online Appointment for NFA and FINRA Exams 

The information in this section does not pertain to online appointments for the SIE. Refer to the Request an Online Appointment for the SIE Exam section for instructions.

Beginning June 9, 2023, a candidate must request and receive an approved accommodation to schedule to take a FINRA or NFA exam online. Accommodations will be considered for the following circumstances: 

  • Candidates experiencing underlying health conditions or are immunocompromised and at an increased risk for severe illness. 
  • Candidates who live more than 150 miles from a test center.

There are different forms required for each request type. Instructions for each are provided in the sections below.

 
Requesting Health Accommodations for Online Testing 

Candidates who wish to test online for health reasons should review the Exam Candidates Requiring Testing Accommodations request process. 

Accommodations will be considered for individuals who are experiencing underlying health conditions or are immunocompromised and at an increased risk for severe illness. Candidates who test positive for COVID and need assistance rescheduling their exams or need their exam windows extended should contact the FINRA Support Center. 

 

Requesting Distance Accommodations for Online Testing

Candidates who live more than 150 miles from a test center and want to take FINRA or NFA exams online (other than the SIE) must complete and submit the Online Exam Distance Request Form. The address on file in CRD or TESS will be used to calculate the distance to the nearest test center using Prometric’s test center locator feature. A temporary address will not be accepted for consideration for an online testing accommodation.

 


Schedule an Online Test Appointment

Once it is determined that a candidate meets the requirements and is able to test online, access Prometric's scheduling page and select the link to schedule an online appointment. Still have questions about online testing? Please review our Online Testing FAQ page.

If a candidate needs to reschedule or cancel their qualification exam appointment, they must do so in a timely manner according to the reschedule/cancellation policy. For additional information on rescheduling, refunds and other related impacts, visit Prometric's COVID-19 FAQ.

 


Other Resources

After a candidate is enrolled to take an exam, FINRA will post a 120-day window in which the exam must be taken. Candidates can schedule an appointment with Prometric, our test delivery vendor, to take their exam at a local test center (or for select exams, delivered online with a remote proctor). Candidates are encouraged to schedule their exam session as far in advance as possible to secure their desired exam date.