FINRA Retake Policy – What You Should Know

🟥 FINRA Retake Policy – What You Should Know
If you fail a FINRA exam, here’s how and when you can try again.

Failing a FINRA exam can be discouraging—but it’s not the end. FINRA allows retakes, but with mandatory waiting periods designed to ensure better preparation and exam integrity. Whether you’re taking the SIE, Series 6, Series 7, Series 63, Series 65, or Series 66, these rules apply.

🔁 How Many Times Can You Retake a FINRA Exam?

There is no lifetime limit, but there are mandatory waiting periods between attempts:

📌 These rules apply to each specific exam—retaking the Series 7 three times doesn’t affect your ability to take the Series 65, for example.

🧾 Do You Have to Pay Again?

Yes. Each attempt requires a new exam fee and updated registration:

• Your sponsoring firm (if applicable) must re-submit Form U4
• Independent candidates (for exams like Series 65 or 66) must re-submit Form U10

⏱ When Does the Countdown Start?

The waiting period starts the day after your failed attempt. You can schedule your next test as soon as the window opens—but not before.

🛠 What to Do After a Failed Exam

1. Review your performance report – Focus on weak topic areas
2. Adjust your study plan – Don’t just repeat the same method
3. Use targeted practice exams – Simulate real conditions
4. Consider new prep materials – Especially if you scored below 65%

🚫 Exceptions & Waivers?

There are no waivers for the waiting periods—they apply to all candidates, regardless of circumstance or experience.

🎯 Pro Tip

If you fail more than once, space out your study and add review + retention strategies like spaced repetition or flashcards. Many candidates pass on their second or third attempt with the right approach.

🚀 Ready to Pass on Your Next Try?

Get access to lifetime prep, review tools, and updated quizzes tailored to FINRA’s exam structure at
👉 finra-exam-mastery.com
Failing is temporary—your license is waiting.