FINRA Exam Center Rules and Restrictions

FINRA Exam Center Rules and Restrictions

When taking a FINRA qualification exam, it’s essential to adhere to specific rules and guidelines to ensure a fair and secure testing environment. These rules apply whether you’re testing at a physical test center or remotely.

🧳 Personal Items and Conduct

• Prohibited Items: Personal belongings such as electronic devices (phones, smartwatches, tablets), cameras, recording devices, study materials, and large jewelry are not allowed in the testing area. At test centers, you’ll be required to store these items in a provided locker before entering the exam room. If testing remotely, ensure your testing environment is free of such items. FINRAFINRA
• Behavior Expectations: Maintain a respectful and professional demeanor throughout the exam. Disruptive behavior, cheating, or any form of dishonesty is strictly prohibited and may result in disqualification.

⏱️ Breaks and Timing

• Scheduled Breaks: Typically, no scheduled breaks are provided during the exam. If you need to take an unscheduled break, you must inform the proctor and adhere to their instructions. Be aware that the exam timer will continue during any unscheduled breaks. FINRAFINRA+1FINRA+1
• Restroom Breaks: If you need to use the restroom during the exam, you must inform the proctor. The exam timer will continue during this time, and you may be subject to additional security checks upon your return. FINRA

🛡️ Security and Monitoring

• Surveillance: Both in-person and online exams are monitored via audio and video to ensure compliance with FINRA’s rules and to maintain the integrity of the exam process. FINRA
• Environment Checks: For online exams, you’ll be required to perform a 360-degree scan of your testing area and may need to show your surroundings to the proctor to confirm the absence of prohibited items. FINRA

📄 Identification and Documentation

• Valid ID: Present a valid, government-issued photo ID (e.g., passport, driver’s license) that matches the name under which your exam is scheduled. Photocopies or digital versions are not accepted. FINRA
• Data Processing Consent: If testing internationally, you may be required to sign a Data Processing Consent Form upon arrival at the testing center. FINRA+1FINRA+1

🔄 Rescheduling and Cancellations

• Advance Notice: To avoid fees, reschedule or cancel your exam at least 10 business days in advance. Late cancellations or no-shows may result in forfeiting your exam fee. FINRA

Note: Failure to comply with these rules may lead to disqualification from the exam, forfeiture of exam fees, or other disciplinary actions. Always review the latest FINRA guidelines and the specific rules provided by your testing provider before your exam.