How Do I Register for a FINRA Exam?
- April 1, 2025
- Posted by: 'FINRA Exam Mastery'
- Category: Finance
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📝 How Do I Register for a FINRA Exam? (2025 Guide)
Registering for a FINRA exam like the SIE, Series 6, Series 7, Series 24, Series 63, 65, or 66 depends on whether you’re affiliated with a broker-dealer or are registering independently. Here’s a step-by-step guide tailored to both situations.
👤 If You’re Not Affiliated with a FINRA-Member Firm (Self-Sponsored)
You can self-enroll for exams like the SIE, Series 63, 65, or 66 (but not Series 6, 7, or 24).
✅ Steps to Register:
- Create an Account
- Visit the FINRA SIE Enrollment Portal
- Select Your Exam
- Choose the appropriate exam (e.g., SIE, 63, 65, or 66)
- Pay the Exam Fee
- Fees (2025):
- SIE: $80
- Series 63: $147
- Series 65: $187
- Series 66: $177
- Fees (2025):
- Schedule Your Exam
- After paying, schedule the exam with Prometric within the 120-day testing window
- Choose between in-person or remote testing (if eligible)
🏢 If You’re Sponsored by a FINRA-Member Firm
If you are taking a firm-sponsored exam like the Series 6, 7, or 24, your employer must initiate the registration.
✅ Steps to Register:
- Your Firm Files Form U4
- Submitted via the Central Registration Depository (CRD) system
- This registers you as an associated person and initiates exam enrollment
- Funding and Approval
- Your firm pays the exam fee via its FINRA Flex-Funding Account
- Receive Enrollment Notification
- You’ll get a confirmation with instructions to schedule your exam
- Schedule with Prometric
- Visit Prometric’s FINRA page to select a testing center or online proctoring option
🗓️ Retake Policy
- 1st & 2nd failures: 30-day wait before retesting
- 3rd failure and beyond: 180-day wait
- Exam fee must be paid for each new attempt
📌 What You’ll Need on Exam Day
- Valid government-issued ID (with photo and signature)
- Your exam appointment confirmation
- You may not bring notes, calculators, or reference materials
🧾 Read FINRA’s Exam Day Guidelines
👉 Register or Learn More About FINRA Exams
Plan ahead. Register correctly. Pass with confidence.