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Special Arrangements

Americans with Disabilities Act

     FINRA, in compliance with the provisions of the Americans with Disabilities Act (ADA), provides testing modification and aids to candidates with disabilities and/or learning impairments that substantially limit a major life activity (e.g., learning, speaking, hearing, vision).  FINRA makes arrangements to offer examinations/sessions in a place and manner appropriate to persons with disabilities according to the ADA. 

     Candidates are required to submit the FINRA Special accommodations Eligibility Questionnaire and Special Accommodations Verifications Request Form for all special arrangement requests.  If the appropriate forms are not completed, the request cannot be considered.  While candidates are free to suggest any sort of accommodation, FINRA will make the final decision on what accommodations(s) can be provided.  Decisions will be made on a case by case basis based on the documentation submitted.

     For additional assistance regarding this procedure, contact FINRA's Field Support Services department at (800) 999-6647, Option 2.

Limited English Proficiency (formerly known as English as a Second Language)

     FINRA provides candidates with Limited English Proficiency (LEP) additional time to complete a FINRA-administered qualification examination or Regulatory Element Continuing Education (CE) Session provided they follow certain protocols.  Candidates with LEP are persons who do not speak English as their primary language and have limited ability to read, speak, write or understand English.  Please note that this LEP request process replaces the process formerly referred to as English as a second language (ESL).  
 
     For exams up to 2 hours, an extra 30 minutes will be added to the session.  For exams longer than two hours and for any CE session, an extra 60 minutes will be added to the session.  

Effective September 1, 2012 LEP candidates and their sponsoring firms, or unsponsored (U10) candidates who want to request additional time to complete a FINRA-administered qualification examination or CE session must:

  • Open the appropriate enrollment window by requesting an examination via Form U4 or Form U10.  For CE sessions, Web CRD automatically opens a CE session based on the anniversary of the individual's initial securities registration.
  • Submit a completed LEP Request Form to FINRA's LEP Support Services Team via email (PDF format only) or facsimile to (202) 689-3487.
    • The request for additional time will apply to all of the examinations/CE sessions that are included on the LEP Request Form and have an open enrollment window.
  • Receive confirmation from FINRA within approximately 10 business days of receipt that the LEP Request Form has been processed prior to scheduling the exam or CE session.
    • FINRA will provide notification via email that the LEP Request Form has been processed, or that the initial submission was incomplete and a new, complete form is required. Once processed, FINRA will notify its test delivery vendors that the candidate should be provided additional time for LEP to complete the examination or CE session.
  • Schedule the examination or CE session appointment with one of FINRA's test delivery vendors:
    • Pearson VUE's National Registration Center: (toll-free) (866) 396-6273
    • Prometric's website or National Call Center: www.prometric.com/finra or (toll-free) (800) 578-6273

Additional LEP Process Details:

With this new process, test center personnel will no longer accept written requests by candidates for additional time based on LEP or because English is a candidate's second language, and they will no longer be authorized to provide additional time to such candidates.

LEP-eligible candidates will receive an additional 30 minutes for an examination that is up to two hours in length, and an additional 60 minutes for an examination over two hours in length and for any CE session. The FINRA Administered Qualification Examinations Web page provides a list of examinations, their applicable costs, time allotted and number of questions.

Misrepresentation of a candidate's LEP-eligibility may result in a disciplinary action or proceeding against the firm and/or candidate by the sponsoring organization (i.e., the self-regulatory organization, state or bank regulator), as appropriate.

Questions regarding the LEP process should be directed to FINRA's Field Support Services at (800) 999-6647, Option 3.


Source:  FINRA's Securities Overview/Services (last update 1/6/2014)

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