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Exámaichean FINRA - Companaidhean

Fàilte do Chompanaidhean!

Tha Prometric a' tairgsinn àireamh de thoolan agus ghoireasan don chom-panaidh agad gus clàradh, freagairtean a shuidheachadh agus deuchainnean FINRA a ghabhail cho furasta 's a ghabhas. Tha na roghainnean deuchainne a' freagairt gu h-èifeachdach agus tèarainte, oir tha onoreachd do dheuchainn agad riaghailteach.

ezSeat 's e inneal fèin-sheirbheis, làraich-lìn a thèid a thoirt seachad gu saor le Prometric do bhuidhnean ionmhais a shuidhicheas grùpaichean mòra airson deuchainnean airgead-gnothach FINRA. Leigidh ezSeat le buidhnean ball FINRA suidheachaidhean mòra a bhacadh aig ionadan deuchainn Prometric airson deuchainnean sònraichte mìosan ro-làimh. Tha seo a' leigeil le buidhnean suidheachaidhean a ghairm mus tèid iad a cho-dhùnadh mu dheidhinn fastadh, agus freagairtean a shònrachadh do dh'ìobairtean fa leth nas fhaisge air na ceann-latha deuchainn. Tha luchd-obrach Prometric a' pròiseas iarraidh clàraidh mòr taobh a-staigh 24-48 uair a thìde às deidh a' chaochladh. Tha ezSeat freagairteach do shreath iomlan ionadan deuchainn Prometric.

Log a-steach an seo

Cuir a-steach cunntas

Tha cuid de fheartan ezSeat a' gabhail a-steach:

  • Comas a bhith a' cur freagairtean le ainmichean buidhne (ex. “Clàr Ghraduates Samhraidh – 2016”)
  • Ruigsinneachd luath do dh'ionadan Prometric freagairteach, no “Ionadan Deuchainn Gaolach”
  • Scrion dachaigh a' nochdadh àireamh de ghairm a tha air fhàgail agus freagairtean a tha ri thighinn
  • Comharran le ID làrach ionad deuchainn/zip code/stàit agus ceann-latha/ùine deuchainn
  • Levelan eadar-dhealaichte de ghairm, freagairtean, agus freagairtean faidhle

Poileasaidhean agus Modhan-obrach FINRA

Seo liosta de phoileasaidhean agus modhan-obrach airson luchd-dèiligidh a tha a' gabhail deuchainnean Sreath FINRA.

Teisteanasan a dhìth

Feumaidh tu aon fhoirm de dhearbhaidhean a thaisbeanadh a tha air an leigeil a-steach le Stàit no Riaghaltas, a' freagairt le dealbh agus sìneadh. Chan fhaodar photocopies no faxes de dhearbhaidhean no de dh'oifigidhean atharrachadh ainm a ghabhail.

Riaghailtean Giùlain

Tha FINRA a' fe要求 gu bheil thu a' leughadh, a' tuigsinn agus a' freagairt gu h-eòin gu bhith freagairteach ri Riaghailtean Giùlain mus tòisich thu air do dheuchainn shuidhichte.

Rudan Pearsanta

Chan eil rudan pearsanta, biadh, no deoch, a' gabhail a-steach cofaidh agus uisge, ceadaichte taobh a-staigh an seòmar deuchainn. Tha rudan pearsanta a' gabhail a-steach, ach chan eil iad cuingealaichte gu: peann, pager, fòn-làimhe, uaireadairean, hat, innealan dealanach nach eil meidigeach, aodach a-muigh, pocannan, agus puist. Feumaidh rudan pearsanta a bhith air an cumail anns a' locker a tha ainmichte dhut no air an toirt air ais gu do chàr ro thòiseachadh do dheuchainn. Mar nach eil an solaraiche deuchainn freagairteach airson rudan pearsanta sam bith, tha iad a' brosnachadh dhut a bring a-mhàin do dhearbhaidhean a-steach don Ionad.

Fasanan Creideimh

Tha rudan creideimh mar chòmhlain ceann, seilearan Rosary, bracelet Kabbalah, msaa. air an ceadachadh anns an seòmar deuchainn às deidh dhaibh a bhith air an sgrùdadh le neach-admin a' mheadhan deuchainn (TCA). Mar a tha e coltach ri rud sam bith eile a tha freagairteach no seuda, feumaidh rudan creideimh a tha ceadaichte a bhith air an caitheamh anns an seòmar deuchainn a bhith air do dhaoine fad na h-ùine. Feumaidh fasanan creideimh a thèid a thoirt air falbh a bhith air an stòradh anns a' locker agad.

Calculators

Ma tha feum agad air calculator airson do shuidheachadh deuchainn, feuch ris an neach-admin a' mheadhan deuchainn. Thèid calculator nach eil freagairteach, nach eil a' clò-bhualadh a thoirt dhut. (Exemption A-MHÀIN airson Sreath 91 Deuchainn FDIC.)

Bòrd Notaichean Erasable

Thèid bòrd notaichean erasable & peann a thoirt dhut nuair a thèid thu a-steach don seòmar deuchainn. Ma tha feum agad air bòrd notaichean no peann a bharrachd, feuch ri do phroctor a chur an cèill. Feumaidh na bòrd notaichean & na peann a bhith air an toirt air ais aig deireadh do dheuchainn.

Briseadh taigh-beag

Tha briseadh taigh-beag ceadaichte, ach bidh an ùine air do dheuchainn a' leantainn air adhart. Thèid iarraidh ort ainm a thoirt a-steach don leabhar-lagha nuair a bhios tu a' falbh agus a' tilleadh don seòmar deuchainn. Thèid iarraidh ort do dhearbhaidhean a thaisbeanadh an dà uair a bhios tu a' falbh agus a' tilleadh don seòmar deuchainn. A rèir poileasaidhean deuchainn FINRA, chan fhaodar dhut a bhith a' falbh às a' bhùth rè briseadh gun urra ach ma tha e riatanach do dhèanamh gus na goireasan taigh-beag a chleachdadh. Chan fhaod thu faighinn gu stuthan sam bith stèidhichte, gairm fòn sam bith, faighinn gu meadhanan dealanach no do locker rè briseadh. Ma tha feum agad air faighinn gu rud stòraichte anns a' locker ionadan deuchainn rè briseadh gun urra, leithid biadh no leigheas, feumaidh tu fios a chuir gu TCA mus tiodhlac thu an rud. Chan fhaod thu faighinn gu rudan pearsanta sam bith mar a chaidh a thoirt a-steach gu h-àrd.

Fad Freagairtean vs. Ùine Deuchainn

Airson a h-uile freagairtean FINRA, tha 30 mionaidean a bharrachd air an deach a shuidheachadh gus leigeil le crìoch a chur air an tiotal a thèid a thaisbeanadh ro do shuidheachadh agus an suirbhidh post-deuchainn. Chan fhaodar an ùine a bharrachd airson na gnìomhan sin a chleachdadh airson crìoch a chur air an deuchainn fhèin. Mar eisimpleir, tha freagairtean Sreath 6 air an shuidheachadh airson 2 uair agus 45 mionaidean. Aon uair 's gu bheil thu air a shoidhnigeadh agus air an tiotal a chrìochnachadh, thòisichidh an deuchainn agus nochdaidh timcheall 2 uair agus 15 mionaidean air an monitor. Cuideachd, tha deuchainn Sreath 7 a' feumachdainn briseadh 30-60 mionaid a bharrachd eadar Pàirtean I agus II. Chan fhaod an ùine a bharrachd airson na gnìomhan sin no am briseadh Sreath 7 a tha riatanach a chleachdadh airson crìoch a chur air an deuchainn fhèin.

toraidhean

Às deidh crìoch a chur air do dheuchainn, tha do fhaidhle toradh air a' chùl-sgrìobhadh gu h-electronach agus air a thoirt air ais do FINRA. Thèid lethbhreac clòraichte de do thoraidhean deuchainn a thoirt dhut. Chan eil luchd-obrach na h-ionaid deuchainn sam bith a' faighinn a-steach do do fhaidhle toradh aig an àm seo. Bu chòir do Roinn Compliance/Registration do chom-pàirtiche a bhith a' faighinn fiosrachadh oifigeil mu do ghairm no staid crìochnachaidh taobh a-staigh 48 uair a thìde. Ma tha ceistean agad mu dheidhinn do ghairm, feuch ris an Roinn Compliance/Registration agad a choimhead airson cuideachadh.

Freagairtean sònraichte

Ma tha feum agad air freagairtean sònraichte, chan fhaod thu do dheuchainn a shuidheachadh tro an Internet. Ma fhuair thu freagairtean no a tha thu ag iarraidh iarraidh freagairtean, feuch ris an sgioba Freagairtean Shònraichte FINRA aig: 800-999-6647 agus tagh Roghainn 2 gus do dheuchainn a shuidheachadh. Feumaidh fios a chur gu h-èifeachdach a thaobh iarraidh a thoirt a-steach gu rud sam bith a thèid a thoirt a-steach don seòmar deuchainn mus tèid a shuidheachadh do freagairtean. Tha rudan pearsanta a' gabhail a-steach ach chan eil iad cuingealaichte gu: clòthan, leigheasan leighis (i.e. pills nitroglycerin), innealan meidigeach, msaa.

Ceistean Bitheanta

Ceistean Coitcheann

Ciamar a bhios mi freagairteach airson deuchainn FINRA a ghabhail?

Feumaidh tu a bhith clàraichte airson do dheuchainnean le FINRA agus faighinn duilleag freagairtean bho do chom-pàirtiche mus tèid thu a shuidheachadh do freagairtean aig Ionad Deuchainn Prometric.

Ciamar a dh'fheumas mi ruighinn aig an Ionad Deuchainn?

Feuch ri ruighinn 30 mionaidean mus tèid do freagairtean a shuidheachadh gus leigeil le ùine airson na h-ìrean clàraidh. Faodaidh tu a bhith ceadaichte do dheuchainn a thòiseachadh roimhe ma tha suidheachadh ri fhaighinn



Bho 30 Lùnastal, 2018, cha leig thu le deuchainn ma thèid thu a ruighinn nas fhaide na 30 mionaidean às deidh do àm freagairte, agus ma tha suidheachadh ri fhaighinn gus freagairtean a thoirt seachad. Ma tha thu air a thoirmeasg bho dheuchainn air sgàth do thàmh, bidh FINRA a' cur cosgais air do chom-pàirtiche mar phíob air an doimhneachadh. Ma tha thu air a phàigheadh le companaidh, feumaidh tu pàigheadh airson clàradh ùr gus freagairtean ùr a shuidheachadh.

Dè tha mi a' toirt leat gu Ionad Deuchainn?

Thoir leat aon fhoirm de dhearbhaidhean oifigeil a' freagairt do do ainm, sìneadh agus dealbh ùr. Feumaidh tu aon de na leanas a thaisbeanadh mar na foirmeach freagairteach: pas-àirneachd dligheach, cead dràibhidh, no cairt ID arm. Feumaidh na rudan pearsanta eile a bhith air an cur anns a' locker airson adhbharan tèarainteachd deuchainn, mar sin feuch ri cuingealachadh air na thèid a thoirt leat don Ionad Deuchainn.

Poileasaidh Ath-shuidheachaidh agus Cancelling

Dè tha poileasaidh ath-shuidheachaidh agus cancelling Prometric?

Bho 1 Sultain, 2011, bidh FINRA a' cur a-steach cosgais airson daoine a tha a' cur às do dheuchainn freagairteach no seisean Element Riaghaltais taobh a-staigh trì gu 10 latha obrach air a shuidheachadh. Gus faighinn a-mach mion-fhiosrachadh, feuch ri poileasaidh cancelling FINRA a cheangal. Faodar freagairtean a dh'atharrachadh a' cleachdadh an roghainn Ath-shuidheachadh/Cancelling air an làrach-lìn seo no 'Siostam Freagairteach Fuaim Prometric aig: 800-578-6273; tha an dà chuid rim faighinn 24 uair a thìde, 7 làithean a' mhìos. Chan eil cosgais air ath-shuidheachadh no a' cur às do freagairtean ma tha an atharrachadh air a dhèanamh ann an àm freagairteach. Tha cur às do dheuchainn no a' fàiligeadh ri freagairtean freagairteach fo bhuaidh cosgais peanas. Thoir sùil air poileasaidh cancelling FINRA.

Pàigheadh

A bheil pàigheadh deatamach aig àm mo dheuchainn?

Chan eil pàigheadh deatamach. Bidh FINRA a' cruinneachadh pàigheadh gu dìreach bhon chom-pàirtiche agad.

Freagairtean sònraichte

Dè ma tha feum agam air Freagairtean Shònraichte?

Ma tha feum agad air freagairtean shònraichte, chan fhaod thu do dheuchainn a shuidheachadh tro an Internet. Ma fhuair thu freagairtean no a tha thu ag iarraidh iarraidh freagairtean, feuch ris an sgioba Freagairtean Shònraichte FINRA aig 1-800-999-6647 agus tagh Roghainn dhà (2) gus do dheuchainn a shuidheachadh.

Fiosrachadh conaltraidh

Carson a tha feum agad air uiread de fiosrachadh conaltraidh bhon chompanaidh agam?

Ma tha ionad sam bith a' cur às do do dheuchainn air sgàth duilgheadas teicnigeach no èiginn eile (a' gabhail a-steach fhuair weather), thèid do freagairtean a shuidheachadh le cosgais sam bith. Fhad 's a tha thu a' clàradh, feumaidh tu àireamh fòn prìomh agus dàrna a thoirt seachad gus an urrainn dhuinn conaltradh a chur riut ma thachras duilgheadas mì-thoirtidh aig an ionad deuchainn. Cuideachd, airson clàradh air-loidhne, feumaidh tu seòladh post-d a thoirt seachad. Thèid Prometric a chur fiosrachadh post-d a' dearbhadh do freagairtean.

FINRA Policies and Procedures

List of policies and procedures for candidates taking the FINRA Series Exams

Identification Requirements

Please present one form of State or Government issued, valid identification, bearing both a photograph and a signature. No photocopies or faxes of identification or of name change documentation will be accepted.

Rules of Conduct

FINRA requires that you read, understand and electronically agree to remain compliant with the Rules of Conduct prior to beginning your scheduled exam.

Personal Items

No personal items, food, or drink, including coffee and water, are permitted inside the testing room. Personal items include, but are not limited to: pens, pagers, cellular phones, watches, hats, non-medical electronic devices, outerwear, purses, and wallets. Personal items must be kept in your assigned locker or returned to your car prior to the start of your exam. As the testing vendor is not responsible for any personal items, they encourage you to bring only your identification into the Center.

Religious Apparel

Religious items such as head coverings, Rosary beads, Kabbalah bracelets, etc. are permitted in the testing room after being visually inspected by the Test Center Administrator (TCA). Similar to any other clothing or jewelry, any religious items allowed to be worn in the testing room must remain on your person at all times. Removed religious apparel must be stored in your locker.

Calculators

If you need a calculator for your testing session, please see the Test Center Administrator. You will be provided with a non-programmable, non-printing calculator. (Exception ONLY for the Series 91 Exam FDIC.)

Erasable Note Boards

Erasable note boards & pens will be provided to you upon admittance to the testing room. If you need additional note boards or pens, please alert your proctor. The note boards & pens must be returned at the end of your exam.

Restroom Breaks

Restroom breaks are permitted, however the time on your exam will continue to count down. You will be asked to sign the logbook upon exiting and re-entering the testing room. You will be asked to show your identification both when exiting and re-entering the testing room. Per FINRA testing policies, you are not permitted to leave the building during an unscheduled break unless required to do so to use the bathroom facilities. You will not be permitted to access any study materials, make any phone calls, access electronic media or your locker during rest breaks. If you need to access an item stored in the test center locker during an unscheduled break, such as food or medicine, you must notify the TCA before you retrieve the item. You are not permitted to access any personal item as referenced above.

Appointment Length vs. Test Time

For all FINRA appointments, an additional 30 minutes is scheduled to allow for the completion of the tutorial presented prior to your session and the post-exam survey. The additional time for these activities cannot be used toward completing the exam itself. For example, a Series 6 appointment is scheduled for 2 hours and 45 minutes. Once you have been signed in and have completed the tutorial, the exam will start and a timer with 2 hours and 15 minutes will appear on the monitor. Also, the Series 7 exam requires an additional 30-60 minute break between Parts I and II. The additional time for these activities or the required Series 7 break cannot be used toward completing the exam itself.

Results

Upon completion of your exam, your result file is electronically encrypted and returned to FINRA. You will be provided with a printed copy of your exam results. The testing center personnel have no access to your result file at this point. Your firm's Compliance/Registration Department should receive official notification of your score or completion status within 48 hours. If you have questions regarding your score, please contact your Compliance/Registration Department for assistance.

Special Accommodations

If you require special accommodations, you cannot schedule your test via the Internet. If you have received or would like to request approval for an accommodation, please call FINRA's Special Conditions Team at: 800-999-6647 and select Option 2 to schedule your examination. Please note that any request to bring any personal belongings into the testing room needs to be approved prior to scheduling your appointment. Personal belongings include but are not limited to: pillows, prescription medications (i.e. nitroglycerin pills), medical devices, etc.

Frequently Asked Questions

General Questions

How do I become eligible to take an FINRA exam?

You must be registered for your examination(s) with FINRA and receive authorization from your sponsoring firm prior to scheduling your appointment at a Prometric Testing Center.

What time must I arrive at the Testing Center?

Please plan to arrive 30 minutes before your scheduled appointment to allow time for check-in procedures. You may be allowed to start your exam early if a seat is available

Effective August 30, 2018, you will not be allowed to test if you arrive later than 30 minutes after your appointment start time, and a seat is unavailable to accommodate your full testing time. If you are not permitted to test due to your late arrival, FINRA will charge your firm a late cancellation fee. If you are not sponsored by a firm, you will be required to pay for a new test enrollment in order to schedule a new appointment.

What do I bring to the Testing Center?

Bring one valid form of official identification bearing your name, signature and a recent photo. You must present one of the following as the primary forms of identification: valid passport, driver's license, or military ID card. All other personal items must be placed in a locker for test security purposes, so please limit what you bring to the Test Center.

Re-scheduling and Cancellation Policy

What is Prometric's re-schedule and cancellation policy?

Effective September 1, 2011, FINRA will implement a fee for individuals who cancel or reschedule a qualification examination or Regulatory Element session within three to 10 business days of a scheduled appointment date. For detailed information, please review FINRA's cancellation policy.

Appointments may be altered using the Reschedule/Cancel option on this Web site or 'Prometric's Automated Voice Response System at: 800-578-6273; both are available 24 hours a day, 7 days a week. 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 policy.

Payment

Is payment due at the time of my exam?

No payment is due. FINRA collects payment directly from your sponsoring firm.

Special Accommodations

What if I require Special Accommodations?

If you require special accommodations, you cannot schedule your test via the Internet. If you have received or would like to request approval for an accommodation, please call FINRA's Special Conditions Team at 1-800-999-6647 and select Option two (2) to schedule your examination.

Contact Information

Why do you need so much contact information from me?

Should a center be unable to administer your test because of a technical problem or some other emergency (including weather-related ones), your appointment will be rescheduled with no additional charge. During the registration process, you will be asked to provide a primary and secondary phone number so that we can contact you in case of an unforeseen problem at the testing center. Also, in order to register online you must provide an e-mail address. Prometric will send you an e-mail confirming your appointment.