FINRA: Financial Industry Regulatory Authority
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.
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Scheduling
Important Information – Change for Scheduling Exams and CE Sessions
FINRA is making changes to the process for scheduling exams and continuing education (CE) sessions. As of May 3, 2010, individuals may use their CRD#, Social Security number (SSN) or FINRA ID# to schedule an appointment.
Effective September 15, 2010, we will no longer allow scheduling using SSNs. All individuals will be required to use their CRD or FINRA ID# to schedule an exam or CE appointment. Candidates registered with a member firm should use their CRD#. Non-member candidates that enrolled through the Form U10 should use the FINRA ID# that was assigned to them at the time of registering. Please begin to become familiar with your FINRA ID# prior to scheduling your appointment.
First-time test takers must create a Pearson VUE web account. First Name, Last Name and FINRA ID fields must match the information entered in FINRA’s Web CRD. Once the account is created, you can immediately schedule your appointment.
A separate username is no longer required. Enter your First Name, Last Name and FINRA ID to access your account. 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 session 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.
Group Reservations Made Easy
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.
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.
