FINRA: Financial Industry Regulatory Authority
(NASD and NYSE Member Regulation are now FINRA)
FINRA is a self-regulatory organization of the securities industry that is subject to oversight by the Securities and Exchange Commission (SEC). FINRA is responsible for the regulation of the Nasdaq Stock Market as well as the over-the-counter securities market.
Important Information – New Format for S101 and S106 Continuing Education Programs
On January 4, 2010, FINRA will implement redesigned versions of the S101 and S106 Regulatory Element Programs. If you have scheduled an appointment on or after this date, please be sure to review the related content outline, an animated orientation and brief sample case to help familiarize yourself with the program changes. These resources, as well as general information about the redesigned programs, are available at www.finra.org/ce/training.
Group Reservations Made Easy – New Service Offering
Use Pearson VUE’s Appointment Concierge service - Reserving seats for group appointments couldn’t be easier!
- Let us know when and where you want to reserve seats.
- We will reserve the seats and schedule your firm’s candidates.
Learn more about the Appointment Concierge Service.
Scheduling
First-time test takers must create a Pearson VUE web account. Please note that account creation may require up to 24 hours. Same-day appointments can only be scheduled for test centers in the U.S. by an Americas customer service agent on Monday through Friday. Same-day scheduling is not permitted for an exam or CE delivered outside of the U.S.
If you cannot find your preferred date on the web, please contact customer service for further assistance.
After you schedule your test, Pearson VUE will send a confirmation letter listing your test date, your testing time, the address and phone number of the test center, and directions to the test center.
Important Information
FINRA Late Cancellation Policy
FINRA requires that you cancel or reschedule your exam by no later than noon (12:00) two business days (Monday-Friday) prior to your exam appointment. Canceling or rescheduling an exam after this time is subject to a late cancellation fee equal to the cost of the examination cancelled.
Non-Members
If you are a non-member candidate and you late cancel or late reschedule, your enrollment will become invalid, and you will be required to file a new Form U10.