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FINRA Exams have been moved to the Test Enrollment SeÑces System (TESS). 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,
Your firm may be required to submit a Form U4 to request an exam on your behalf. Enroll Now. To enroll for the appropriate exam, find it below and click the Enroll button for that group. You will automatically be directed to the correct enrollment process for that exam. For the best experience, please use a Windows laptop or desktop.
I already have a U10 account, and I’ve submitted a U10 form filing in the past. How do I log into TESS? Your U10 login credentials will work for TESS, but you may be required to provide additional information when you access TESS.
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.
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.
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.
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.
