How to Apply for a FINRA Examination

NOTE: This procedure applies to Washington residents only.

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 U-10 either online or by sending a printed and completed U-10 Form to FINRA.

Please contact Bruce Johnson of the Division at 360-902-8781 (voice mail message is okay) or e-mail at bjohnson@dfi.wa.gov with any questions.

Filling out the Form:  Fill in No. 1 (Candidate Information). Do not put anything in No. 2 (Firm Information) or No. 3 (Regulator).

FINRA will process your application and open a 120 day window in which you are allowed to take the examination.   You will receive a form which authorizes you to sit for the examination. For testing center information and locations, visit FINRA's website.  

You should arrive at the authorized testing center about 30 minutes before your scheduled appointment time. To gain admission to the center, you must provide one valid form of identification with your signature and your picture as issued by a government agency, such as a valid driver's license, passport, or military ID. If you do not have ID that is adequate, you must cancel your appointment until you get proper ID. Bring the form you received from FINRA, as well.  You are also required to sign in on the center's "sign-in log," agree to the rules of conduct through your signature, and provide a single finger imprint.

FINRA Regulation sessions are closed-book. When you enter the center, you are not allowed to bring personal possessions, such as books, briefcases, and notes into the testing/training room. You may take only authorized material issued by center staff into the testing/training room. Neither the center staff nor FINRA Regulation is responsible for articles you are not allowed to bring to your session. The center staff will provide as much scratch paper as needed during the session. All materials, including used and unused scratch paper, must be returned to the center staff at the end of the session.

If you fail an examination you must wait: (1) a minimum of 30 days after failing the first exam before the second taking of the exam can be scheduled; (2) a minimum of 30 days after failing the exam for the second time before the third taking of the exam can be scheduled; and (3) a minimum of 180 days after failing the exam for a third time before the fourth taking of the exam (and each subsequent taking) can be scheduled.

Additional Information:

FINRA Examination Educators and Suppliers

Further information is available on the FINRA website.

For testing center information and locations, visit FINRA's website.