The information provided on this page is for candidates who have elected to take their exam(s) at a local Prometric test center.
Account Creation1. I am a new user and need to request an enrollment. How do I log into TESS?Please visit our “Enroll for a Series Exam” page and select the appropriate link for the exam you are requesting. Note that before you can enroll as a new user for an exam using TESS, you must register to create a profile. Use the following steps to register:Click on Get Started.Click on “Create Account
If you need to reschedule or cancel your qualification exam or Regulatory Element Continuing Education (CE) session appointment, you must do so a minimum of 10 business days in advance to avoid any fees. Appointments rescheduled or cancelled within 10 business days will incur a fee.
Test/CE session administration procedures at all international locations are, for the most part, the same as for tests/CE sessions administered domestically.
FINRA views the protection of senior investors, as well as baby boomers who are retired or approaching retirement, as a top priority. Because a large number of American investors are approaching retirement and control a substantial portion of investment assets, FINRA encourages firms to review and, where warranted, enhance their policies, procedures and practices, in light of the special issues common to many senior investors. For example, a firm's procedures and controls should take into consideration the age and life stage (whether pre-retired, semi-retired or retired) of their customers. Of particular concern to FINRA is the suitability of recommendations to senior investors, communications targeting older investors, and potentially abusive or unscrupulous sales practices or fraudulent activities targeting senior investors.
For firms with test candidates using company-issued equipment on their corporate networks to take their exams online, your firm's technology team should be consulted about what it will take to ensure that the ProProctor application will successfully run on the day of the candidate's exam.
Please note that Prometric's ProProctor
Background
FINRA is pleased to announce a new centralized, secure file transfer platform called fileX, which enables firms to programmatically send, track and receive files in one place. fileX significantly streamlines the process for submitting bulk filings to FINRA, provides additional options for downloading files from FINRA, and allows for seamless and secure authentication and authorization
Test Your SIE Knowledge
Get firsthand experience with a free practice test for the Security Industry Essentials® (SIE®) Exam.
Answer 75 multiple-choice questions that are similar to those you might find on the SIE exam.
Proceed at your own pace. (The practice test is not timed, but you will have 1 hour and 45 minutes to take the SIE exam.)
Get feedback at the end to see what you know and
Annual Continuing Education RequirementEffective Jan. 1, 2023, all FSAWP-eligible individuals are required to complete Continuing Education (CE) Regulatory Element annually by Dec. 31 for each remaining year of their FSAWP eligibility.FINRA Rule 1210.09 established a waiver program for eligible individuals who left a member firm to work for a foreign or domestic financial services affiliate of a
FINRA now offers candidates the choice to take an exam at a local test center or, for a limited number of exams, proctored remotely online. For either appointment type, please ensure you are prepared in advance of your test appointment and familiar with what to expect on the day of your exam. Please review and complete any necessary preparations indicated for your applicable test experience.
