FINRA provides test administration services for the MSRB’s professional qualification examinations. Learn more about scheduling an examination and/or day-of logistics.
| Process | |
| FINRA-registered firms | FINRA-registered firms must file or amend an individual’s Form U4 (Uniform Application for Securities Industry Registration or Transfer Form) to request the appropriate MSRB qualification examination. |
| Non-FINRA registered firms | Individuals associated with non-FINRA firms should use the Test Enrollment Services System (TESS) to register individuals for an MSRB qualification examination. View FINRA's TESS Frequently Asked Questions (FAQs) to learn more about the process. |
Rescheduling or Canceling Your Appointment
If an individual needs to reschedule or cancel an examination appointment, the individual must do so more than 10 business days in advance of the examination appointment to avoid any fees being assessed. Appointments rescheduled or cancelled within 10 business days of the examination appointment, or in a case where an individual fails to appear to take the examination, applicable fees are assessed. View FINRA’s cancellation and rescheduling fee chart.
Please be aware that neither the MSRB nor FINRA has a hardship policy, therefore, if an individual is unable to take an examination for any reason the cost of the examination will not be refunded or applied to another examination.
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