How to Apply for a FINRA Examination

In order to take a FINRA (Financial Industry Regulatory Authority) examination, you must be associated with or employed by a FINRA member firm unless you wish to take the Series 63, 65, or 66 examination, or you have an application pending in our state that requires you to qualify by examination.

If one of these exceptions from association or employment with a FINRA member firm applies, you may register to take the required exam by submitting a Form U10 to FINRA online.

Testing Center Locations

For testing center information and locations, visit FINRA’s test center webpage.

If you have problems submitting the form or payment, please contact the FINRA Call Center at (301) 590-6500.

FINRA Examination Educators and Suppliers

Several organizations have let the Division of Securities know that they provide education and study materials for FINRA exams.

The Division does not recommend or endorse these organizations. This information is being provided strictly as a courtesy since we often receive inquiries.