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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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.
If severe weather or a natural disaster makes travel to the test center inaccessible or unsafe, your appointment may be delayed or cancelled. Candidates may call Pearson VUE at 800-274-0456 for details regarding delays and cancellations during severe weather.
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S901 Regulatory Element Program
On October 17, 2013, FINRA implemented the new S901 Regulatory Element Program (also referred to as the Operations Professional Program) for Series 99 registered persons.
All participants will be presented with cases from the first three modules, regardless of their function. Participants will be required to self-select a job function that most closely resembles their current responsibilities which will provide a more personalized educational experience than previous Regulatory Element Programs. Upon selection of a functional category, a case will be randomly selected from one of the four sub-modules. The cases in these sub-modules will focus on issues related to each specific function.
Please be sure to review the related content outline, an animated orientation and brief sample case to help familiarize yourself with the program. These resources, as well as general information about the new program, are available at www.finra.org/ce/training.
FINRA Reschedule/Cancellation Policy
Individuals who reschedule or cancel a FINRA qualification examination or Regulatory Element Continuing Education (Regulatory Element) session three to 10 business days prior to their scheduled appointment will be subject to a new cancellation and reschedule policy. For detailed information, please review FINRA’s Cancellation and Reschedule Policy. There is no charge for rescheduling or canceling an appointment if the change is made in a timely manner. Untimely cancellation of an exam or failing to show for an appointment is subject to a penalty fee. Refer to FINRA’s cancellation and reschedule policy.