Passing an exam is normally a prerequisite for being licensed by a state before a broker-dealer agent or investment adviser representative can work with investors. NASAA’s exams are administered for NASAA by the Financial Industry Regulatory Authority (FINRA). A candidate may open a window for one of NASAA’s exams through his or her firm or independently through FINRA’s Test Enrollment Services System.
Remote Exam Update: April 27, 2020
FINRA and NASAA are working together with input from other regulators and the industry to accelerate the delivery of an online testing service that will be administered and remotely proctored by our test delivery provider, Prometric.
The online test delivery service will allow candidates to use their personal or firm-provided, camera-equipped computer to take qualifications examinations. Prometric staff will proctor the examination through the camera and other online tools.
We are currently conducting a trial of the online testing service to work out any technical, operational or candidate experience issues.
We expect to launch the service on a limited basis in the near future, starting with the SIE, Series 6, Series 7, Series 63, and Series 66 with increasing capacity and exam offerings over the next four to six weeks. You can access additional details about this service on FINRA’s COVID-19 page, starting Friday May 1st.
Prometric also announced its intention to open select test centers in limited geographic locations as early as May 1. Select in-center testing will only be made available to essential service programs, including financial services programs, and capacity will be limited due to social distancing requirements. These requirements may impact already scheduled exam appointments. For the most up-to-date information about test center availability and COVID-19 impacts, please visit the Prometric COVID-19 website.