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FINRA Moving to a Single Vendor for Securities Qualification Exams

Adults sitting for securities licensing exam in a testing center

Posted By: William James, Senior Content Specialist
Published: November 16, 2017

The Financial Industry Regulatory Authority (FINRA) announced that as of January 1, 2018, it will move to a single vendor to deliver its many securities qualification examinations.

Historically, FINRA has provided two vendors: Pearson VUE and Prometric. The last day anyone can sit for a FINRA exam at a Pearson VUE testing center is December 31, 2017.

Examination candidates who want or need to reschedule an appointment with Pearson VUE may do so, but it must be scheduled to take place no later than December 31, 2017. After that, all rescheduling must be with a Prometric testing center.

If a candidate does not pass an exam at a Pearson VUE testing center by December 31, 2017, they will only be allowed to reschedule with a Prometric testing center.

Prometric complies with the Americans with Disabilities Act (ADA) by supporting testing accommodations or modifications. However, the candidate must submit an accommodation request to FINRA for review and approval. If FINRA approves the accommodation, it will then let Prometric know before the appointment.

Those securities professionals who have previously taken examinations at Pearson VUE need not worry about their testing records, as they are maintained by FINRA. If a copy of a score report for a test taken at Pearson VUE is needed, contact FINRA at (800) 999-6647.

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