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  • Lep Request Form - Finra - Finra

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Request for Additional Time Based on Limited English Proficiency (LEP) Please print clearly and complete this form in its entirety. FINRA will not process an incomplete form. CANDIDATE INFORMATION.

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You can apply to FINRA for a waiver of the Series 65 licensing exam. The AICPA sends a weekly file to FINRA which includes all PFS credential holders who have updated their AICPA profile to include their FINRA CRD number. Updating your online AICPA profile: Go to .aicpa.org and sign in.

The Series 14 exam — the Compliance Officer Qualification Exam (CR) — assesses the competency of an entry-level principal to perform their job as a compliance officer.

Eligibility. Candidates must be associated with and sponsored by a FINRA member firm or other applicable self-regulatory organization (SRO) member firm to be eligible to take FINRA representative-level qualification exams. For more information on registration requirements, refer to FINRA Rule 1210.

Said another way, the filing of Form U4 for an IAR registrant who has not already passed a requisite NASAA exam or who does not have a qualifying professional designation will automatically cause a 120-day Series 65 examination window to be opened on behalf of the IAR registrant.

The SIE is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to prospective employers. Association with a firm is not required to take the SIE, and results are valid for four years.

Requirements for Series 6 Candidates must be sponsored by a member of FINRA or a self-regulatory organization (SRO) to take the exam.

FINRA and Broker-Dealer Exams FINRA licensing exams cover a broad range of topics, ensuring candidates are competent in fields such as markets, securities, FINRA rules, and regulations from other self-regulating organizations. SIE and Series 63 exams do not require any sponsoring program.

The SIE exam requirements are simple and straightforward: anyone 18 years of age or older can sit for the exam. You do not need to be sponsored by a member firm to take the SIE. However, to take representative level qualification exams you must be sponsored by a member firm.

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© Copyright 1997-2025
airSlate Legal Forms, Inc.
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Form Packages
Adoption
Bankruptcy
Contractors
Divorce
Home Sales
Employment
Identity Theft
Incorporation
Landlord Tenant
Living Trust
Name Change
Personal Planning
Small Business
Wills & Estates
Packages A-Z
Form Categories
Affidavits
Bankruptcy
Bill of Sale
Corporate - LLC
Divorce
Employment
Identity Theft
Internet Technology
Landlord Tenant
Living Wills
Name Change
Power of Attorney
Real Estate
Small Estates
Wills
All Forms
Forms A-Z
Form Library
Customer Service
Terms of Service
DMCA Policy
About Us
Blog
Affiliates
Contact Us
Privacy Notice
Delete My Account
Site Map
All Forms
Search all Forms
Industries
Forms in Spanish
Localized Forms
Legal Guides
Real Estate Handbook
All Guides
Prepared for You
Notarize
Incorporation services
Our Customers
For Consumers
For Small Business
For Attorneys
Our Sites
US Legal Forms
USLegal
FormsPass
pdfFiller
signNow
airSlate workflows
DocHub
Instapage
Social Media
Call us now toll free:
1-877-389-0141
As seen in:
  • USA Today logo picture
  • CBC News logo picture
  • LA Times logo picture
  • The Washington Post logo picture
  • AP logo picture
  • Forbes logo picture
© Copyright 1997-2025
airSlate Legal Forms, Inc.
3720 Flowood Dr, Flowood, Mississippi 39232