Common FINRA Series Questions                                                                                                                                         
What does it mean to get SPONSORED?
As you may have heard, you have to be sponsored by your company to take the test for FINRA
SERIES 6, 7, 24 or 26 Exams.  To gain the privilege of being sponsored, it will be necessary for
you to register with a FINRA member firm using the
U-4 form.

When this comprehensive background and reporting form has been completed and filed
through the compliance department of your Registered Broker/Dealer, your
120-Day Testing
Window
will be opened.  Once the testing Window is opened, the exam may be scheduled.

What exactly is a U-4 Form?
The registration form for the FINRA Series exams is called the U-4 Form, which you get through
the compliance department of your sponsoring firm.  The turnaround is from 1-4 weeks, so you
want to get that done as soon as possible.  It’s not necessary to have the
U-4 Form filed to take
the class, but is required to schedule the exam.
 So, it is best to get the U-4 Form filed ASAP.
Do all the Series Exams require sponsorship?
As you may have heard, you have to be sponsored by your company to take the test for FINRA SERIES 6, 7, 24 or 26 Exams.  To
gain the privilege of being sponsored, it will be necessary for you to complete a
U-4 Form.

The FINRA Series 63, 65, 66 are NASAA exams administered by FINRA that can be scheduled by filing either the U-4 (if you are
sponsored by a FINRA member) or by filing
Form U-10 (no sponsorship required).

Financial Academy OnDemand 24/7 courses may be taken without sponsorship.

Enroll in a FINRA exam pre-license study course now!
The Fastest Start in Financial Services
804-672-PASS
804-672-PASS