Washington State Department of Financial Institutions

How to Apply for a FINRA Examination

In order to take a FINRA (Financial Industry Regulatory Authority) examination, you must be associated with or employed by a FINRA member firm unless you wish to take the Series 63, 65 or 66 examination or you have an application pending in our state that requires you to qualify by examination. If one of these exceptions from association or employment with a FINRA member firm applies, you may register to take the required exam by submitting a Form U-10 to FINRA online.

FINRA Form U-10 and Instructions. Instructions for filling out the Form U-10 and paying for and taking the examination

For testing center information and locations, visit FINRA’s test center.

If you have problems submitting the form or payment, please contact the FINRA Call Center at (301) 590-6500.