Welcome Candidates!
Taking a securities industry qualification exam through Prometric now comes with options. Review below to learn more about the offerings that Prometric extends to support candidates and firms.
Scheduling Your Exam:
You now have two options to schedule your exam:
All FINRA exams are available to be scheduled at a Prometric test center.
Back-to-back scheduling is a feature that allows for the scheduling of two appointments on the same day and at the same test center in one transaction. If you want to schedule exams on different days, you must select each exam individually and complete individual appointment transactions.
Important: If you are scheduling with pre-approved FINRA accommodations , please contact Prometric’s Testing Accommodations Team toll-free at (800) 967-1139 to schedule your appointments.
Important:
Online Test Delivery Resources and System Requirements
Below is a list of policies and procedures for candidates taking the FINRA Series Exams.
Identification Requirements
Please present one form of government-issued, valid identification, bearing both a photograph and a signature. No photocopies or faxes of identification or of name change documentation will be accepted.
Rules of Conduct
FINRA requires that you read, understand and electronically agree to remain compliant with the Rules of Conduct prior to beginning your scheduled exam.
Personal Items
No personal items, food or drink, are permitted inside the testing room. Personal items include, but are not limited to: pens, pagers, cellular phones, watches, hats, non-medical electronic devices, outerwear, purses and wallets. If testing at a Prometric test center, personal items must be kept in your assigned locker or returned to your car prior to the start of your exam. As the testing vendor is not responsible for any personal items, they encourage you to bring only your identification into the Center. If testing online, personal items must be left outside of the room you test in.
Religious Apparel
Religious items such as head coverings, rosary beads, kabbalah bracelets, etc., are permitted in the testing room after being visually inspected by the Test Center Personnel. Similar to any other clothing or jewelry, any religious items allowed to be worn in the testing room must remain on at all times. Removed religious apparel must be stored in your locker.
Calculators
Test Center Delivery: If you need a calculator for your testing session, please see the Test Center Personnel. You will be provided with a non-programmable, non-printing calculator.
Online Test Delivery: A physical calculator is not permitted. A four-function calculator is available on screen as part of your exam.
Note Boards/Markers
Test Center Delivery: Erasable note boards and dry erase markers will be provided to you upon admittance to the testing room. The note boards and markers must be returned at the end of your exam.
Online Test Delivery: Scratch paper/erasable note boards are not permitted. The system provides an electronic scratch pad to make notes.
Unscheduled Breaks
Test Center Delivery: Unscheduled breaks are permitted; however, the time on your exam will continue to count down. You will be asked to sign the logbook and show your identification both when exiting and re-entering the testing room. Per FINRA testing policies, you are not permitted to leave the building during an unscheduled break unless required to do so to use the bathroom facilities. You will not be permitted to access any study materials, make any phone calls, access electronic media or your locker during an unscheduled break. If you need to access an item stored in the test center locker during an unscheduled break, such as food or medicine, you must notify the Test Center Personnel before you retrieve the item. You are not permitted to access any personal item as referenced above.
Online Test Delivery: Unscheduled breaks are permitted; however, the time on your exam will continue to count down. You must notify your proctor if you need to take an unscheduled break. Upon return from an unscheduled break, a security check will be performed. Per FINRA testing policies, you will not be permitted to access any study materials, make any phone calls, or access electronic media during an unscheduled break.
Appointment Length vs. Test Time
For all FINRA appointments, an additional 30 minutes is scheduled to allow for the completion of the tutorial presented prior to your session and the post-exam survey. For test center delivery, the additional time for these activities cannot be used toward completing the exam itself or writing on your center-provided note board. For example, if you are scheduled to take the SIE exam, your SIE appointment will be scheduled for 2 hours and 15 minutes. Once you have been signed in and have completed the tutorial, the first test question will be presented, and a timer with 1 hour and 45 minutes will appear on the monitor. At this point, you can begin to answer test questions.
Results
Test Center Delivery: Upon completion of your exam, your result file will be electronically encrypted and returned to FINRA. You will be provided with a printed copy of your pass/fail results. Your firm's Compliance/Registration Department should receive official notification of your pass/fail results or completion status within 48 hours. If you have questions regarding your results, please contact your Compliance/Registration Department for assistance.
Online Test Delivery: Upon completion of your exam, you will not receive your official result report. Your pass/fail result will be displayed on screen. Then, within three business days, your official results will be sent to the email address provided at the time of your appointment scheduling.
Special Accommodations
If you require special accommodations, you cannot schedule your test via the internet. If you have not received or would like to request approval for an accommodation, please call FINRA's Candidate Services Team at: 800-999-6647 and select Option 2 to request accommodations. Please note that any request to bring any personal belongings into the testing room or during online test delivery must be approved prior to scheduling your appointment. Personal belongings include but are not limited to: prescription medications, medical devices, etc.
