How to Register for your Securities Licensing Exam

All candidates must be sponsored by a FINRA member firm or a self-regulatory organization (SRO). Sponsoring firms apply for candidates to take the exam by filing a Uniform Application for Security Industry Registration or Transfer (Form U4). You’re also required to submit your fingerprints through an approved facility (your firm will usually advise you on the local facility they use). There is an exam fee that is typically covered by the sponsoring firm.

After your firm files the application with the Central Registration Depository and receives your enrollment notification, you can schedule taking the exam at one of the Prometric or Pearson Vue Testing Centers. Once enrolled, you have up to 120 days to take the exam – and you must ensure you take the test within this period. You can ask for an extension on the 120 days if you ask within 10 days of expiration and if no earlier test dates are available.

It’s a good idea to book a test date early as most students study more effectively when they have a target date. You can find an up to date listing on the FINRA website . Should you need to change your test date for any reason, most exam center administrators will accommodate this provding you call before noon 2 business days before your test. Canceling is also an option without penalty if you’re just not ready or due to unforeseen circumstances as long as you give at least 10 business days notice.

If you have a disability or English is not your first language you can apply for special accommodations and you should contact the FINRA Special Conditions Team instead of scheduling your exam online.

After passing the exam, your license will be in your own name although you have to be working for a firm for your license to be active.

Be sure to check out the Registration and Qualification section on FINRA’s website for specific details relating to each exam including:

  • Content Outline
  • Eligibility
  • Permitted Activities
  • Taking the Exam
  • Key Questions
  • Reference Materials and Equipment for Exam Day