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If you would like to request any FINRA Qualification Exam (Series 4, 6, 7, 9, 10, 11, 22, 23, 24, 26, 27, 28, 39, 42, 57, 62, 86, 87) or CE Session (SIOI, 106, 201, 901), please visit the folloWng link https://www.finra.orq/enroll 6.
Upon receipt of candidate eligibility information from a sponsoring organization, FINRA will email enrollment instructions to the candidate. Enroll here to complete required FINRA exams, whether you are new to the industry or are seeking to broaden your career.
Give us a call at 212-668-8700, or follow the contact form link below to learn more. During FINRA Examination, ACI will acts as liaison with regulators to provide all necessary documents for them to conduct their analysis and review.
19 lip 2018 · Since our last post about Form U10, FINRA has implemented the Test Enrollment Services System (TESS). Beginning in June 2017, FINRA began transitioning all non-U4 examination enrollments to TESS and ended the utilization of the Form U10.
21 wrz 2016 · Form U10 is the Uniform Examination Request for Non-Form U4 Registered Candidates. As mentioned above, Form U10 is used when a state, self-regulatory, or bank-regulatory agency with which your firm is registered requires a qualification exam.
Effective January 24, 2022, branch registration forms are available in the FINRA Gateway. Leveraging the modern data collection interface, users can create an Initial Form BR from the firm profile and amend or close specific branches from the related Branch Profile.
Form U10, the Uniform Examination Request for non-FINRA candidates, is designed for use by individuals not employed or associated with FINRA member firms who, as part of a registration process, have been specifically required by another regulatory authority to qualify by examination.
