Close Close
Popular Financial Topics Discover relevant content from across the suite of ALM legal publications From the Industry More content from ThinkAdvisor and select sponsors Investment Advisor Issue Gallery Read digital editions of Investment Advisor Magazine Tax Facts Get clear, current, and reliable answers to pressing tax questions
Luminaries Awards

Regulation and Compliance > Federal Regulation > FINRA

Registration Starts May 11 for FINRA, NASAA Online Test Taking

Your article was successfully shared with the contacts you provided.

Starting on May 11, broker-dealers and their registered reps can schedule their online test-taking appointments for exams that will begin on May 24 as part of the Financial Industry Regulatory Authority and the North American Securities Administrators Association’s online testing service, which is to be administered remotely by Prometric.

FINRA has also filed a proposed rule with the Securities and Exchange Commission to allow for certain documents to be delivered via email due to the coronavirus pandemic.

The online test delivery service will allow candidates to use their camera-equipped computer to take qualifications exams, FINRA said in a previous announcement.

In the weeks ahead, FINRA, NASAA and other regulators plan to finalize requirements for the online testing, which will initially include online delivery of the Securities Industry Essentials (SIE), Series 6, Series 7, Series 63, Series 65 and Series 66 exams, FINRA said.

Additional details regarding online test delivery requirements and appointment scheduling will be made available on the Qualifications Schedule an Exam page by May 11.

Prometric, which administers FINRA exams, will have its staff supervise exams through the camera and other online tools.

In light of challenges presented by COVID-19, FINRA is also extending all FINRA-administered test-taking enrollments through May 31.

Regulatory Element continuing education requirements that are currently expired, or will expire, between March 16 and May will be also be extended through May 31.

— Related on ThinkAdvisor:


© 2024 ALM Global, LLC, All Rights Reserved. Request academic re-use from All other uses, submit a request to [email protected]. For more information visit Asset & Logo Licensing.