FINRA: Financial Industry Regulatory Authority
FINRA is a self-regulatory organization of the securities industry that is subject to oversight by the Securities and Exchange Commission (SEC). FINRA is responsible for the regulation of the Nasdaq Stock Market as well as the over-the-counter securities market.
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On January 2, 2012, a redesigned version of the S201 Regulatory Element Program becomes effective in an effort to improve and keep the Continuing Education Program current and relevant. Individuals who schedule a S201 CE session for administration on or after January 2, 2012, will take the redesigned program.
Please be sure to review the related content outline for your applicable Regulatory Element Program, the animated orientation, and a brief sample case to help familiarize you with the material that may be covered. These resources, as well as general information about the programs, are available at www.finra.org/ce/training.
First-time test takers must create a Pearson VUE web account. First Name, Last Name and FINRA ID fields must match the information entered in FINRA’s Web CRD. Once the account is created, you can immediately schedule your appointment.
A separate username is no longer required. Enter your First Name, Last Name and FINRA ID to access your account. Same-day appointments can only be scheduled for test centers in the U.S. by an Americas customer service agent on Monday through Friday. Same-day scheduling is not permitted for an exam or CE session delivered outside of the U.S. If you cannot find your preferred date on the web, please contact customer service for further assistance.
After you schedule your test, Pearson VUE will send a confirmation letter listing your test date, your testing time, the address and phone number of the test center, and directions to the test center.
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FINRA Reschedule/Cancellation Policy
Individuals who reschedule or cancel a FINRA qualification examination or Regulatory Element Continuing Education (Regulatory Element) session three to 10 business days prior to their scheduled appointment will be subject to a new cancellation and reschedule policy. For detailed information, please review FINRA’s Cancellation and Reschedule Policy. There is no charge for rescheduling or canceling an appointment if the change is made in a timely manner. Untimely cancellation of an exam or failing to show for an appointment is subject to a penalty fee. Refer to FINRA’s cancellation and reschedule policy.