Certification Overview
FINRA® is dedicated to investor protection and market integrity through effective and efficient regulation of broker-dealers.
FINRA® plays a critical role in America’s financial system—by enforcing high ethical standards, bringing the necessary resources and expertise to regulation and enhancing investor safeguards and market integrity—all at no cost to taxpayers.
To become registered, securities professionals must pass qualifying exams administered by FINRA® to demonstrate their competence in the securities activities in which they will work. You must pass the exams prior to engaging in those areas of the business.
These exams cover a broad range of subjects on the markets, and the securities industry and its regulatory structure. This includes knowledge of FINRA® rules and the rules of other self-regulatory organizations (SROs). The purpose of the exams is to ensure that you acquire a minimum level of understanding and expertise.
First enroll for your exam: Enroll Now
FINRA® will then post a 120-day window in which you can schedule an appointment with Prometric. Be sure to schedule your exam session as far in advance as possible to secure your desired exam date.
Note: For assistance regarding test centre capacity in a particular area and/or firms with bulk or group scheduling capacity needs, please contact Prometric at Centercapacity-finra@prometric.com.
You can schedule an appointment online at www.prometric.com/finra
It is possible for you to schedule two different exams on the same day. If you want to schedule exams on different days, you must select each exam individually and complete individual appointment transactions.
It is your responsibility to ensure that your appointments do not overlap. Appointment availability will vary by exam location.
If you need to reschedule or cancel your appointment, make sure you do so a minimum of 10 business days in advance to avoid any fees. Appointments rescheduled or cancelled within 10 business days will result in a reschedule or cancellation fee.
Be aware that you cannot schedule an appointment past the expiration date of your 120-day window nor does FINRA® have a hardship policy to refund exam scheduling fees if you are unable to test. However, under limited circumstances, FINRA® may extend your 120-day window if,
- at least 10 business days before your enrolment expires, there are no available appointment times at a Prometric testing centre; and
you are willing to take the first available appointment after the expiration date of your 120-day window.
You should arrive at least 30 minutes before your scheduled exam appointment. This allows time for you to sign in and for staff to verify your identification.
You must present a valid form of identification before you can test. The identification document must:
- Be government-issued (e.g., driver’s license, state-issued identification card, military identification card or passport).
- Contain both a current photo (or a physical description) and your signature.
- Have a name that exactly matches the name used to register for the exam (including designations such as “Jr.” and “III”).
Important Failure to provide appropriate identification at the time of the exam is considered a missed appointment.
Personal Belongings
You will not be allowed to take any personal items with you into the testing room. This includes all bags, books or other materials not authorized for this exam, notes, phones, pagers, watches and wallets. You will, however, be provided a locker where you can keep your personal items. It is important that all electronic items, such as cellphones should be turned OFF.