FINRA Exam Security Procedures You Should Know

FINRA Exam Security Procedures You Should Know

Taking a FINRA exam—whether it’s the SIE, Series 6, Series 7, or any other qualification test—requires strict adherence to security protocols. These measures ensure fairness, maintain the integrity of the testing process, and protect confidential exam content.

Here’s what you need to know about FINRA exam security procedures before arriving at your testing center (or logging in for online proctoring).

🛑 1. No Personal Items Allowed in the Testing Room

At Prometric centers and during remote exams, you cannot bring:

• Phones, smartwatches, or electronics
• Notes, books, or cheat sheets
• Bags, purses, or wallets
• Hats, hoods, coats, or sunglasses (unless religious or medical)

✅ You’ll store personal items in a locker (testing center) or keep them out of reach (online testing).

🪪 2. You Must Present Valid Identification

To take a FINRA exam, you must present:

• One valid, government-issued photo ID
• Name on ID must exactly match your exam registration
• The ID must be unexpired and contain a recognizable photo and signature

🛂 Common accepted IDs: Driver’s license, passport, military ID

🎥 3. You Will Be Monitored at All Times

All FINRA exams are:

• Video recorded and monitored (in-person and online)
• Proctors will observe your behavior and may intervene if rules are violated
• Facial recognition and room scans are used during remote testing

📌 Any suspicious behavior may lead to disqualification and regulatory action.

🖊️ 4. Testing Tools Are Provided Digitally

You cannot bring calculators, scratch paper, or writing tools.

Instead:

• Use on-screen calculators and digital whiteboards
• At centers, you may receive erasable boards and markers (must be returned)
• No writing before the test officially begins

⛔ 5. Prohibited Behavior During the Exam

Avoid the following at all costs:

• Looking around excessively
• Speaking aloud or mouthing words
• Taking screenshots or copying questions
• Accessing other programs or browser tabs (online exam)

🚨 Violations may result in:

• Immediate termination of the exam
• Invalidation of your results
• Reporting to FINRA for disciplinary action

🔁 6. Exam Retake Security Is Just as Strict

If you’re retaking a FINRA exam:

• You’ll go through the same security protocols
• Attempting to recall or share questions from a prior exam is a violation of FINRA rules
• You must agree to a Candidate Agreement that prohibits disclosure of content

📝 7. Candidate Agreement – Read It Carefully

Before beginning, you must digitally accept FINRA’s agreement stating:

• You will not share exam content
• You understand the consequences of misconduct
• You agree to follow all exam rules, including during breaks

You won’t be allowed to proceed until you accept it.

🚀 Prepare with Confidence—Ethically

Following exam rules isn’t just about passing—it’s about maintaining your professional reputation. Study honestly, test with integrity, and succeed on your own terms.

Access ethical, exam-aligned resources with:

• Realistic simulations
• Scenario-based quizzes
• Study plans that work within FINRA’s guidelines

👉 Start Studying at Finra Exam Mastery