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Reschedule or Cancel Your Appointment

If you need to reschedule or cancel your qualification exam appointment, you must do so a minimum of 10 business days in advance to avoid any fees. Appointments rescheduled or cancelled within 10 business days will incur the existing fee at the time the appointment is changed.

Remember, FINRA does not have a hardship policy if you’re unable to take an exam. If you miss your enrollment period for any reason, the cost of the exam will not be refunded or applied to another examination.

Inclement Weather Policy


If severe weather or a natural disaster makes it difficult or unsafe to travel to the exam center, the exam may be delayed or cancelled.

Visit the Prometric Site Closure page or call (800) 578-6273 for a list of centers closed due to inclement weather.

Reschedule / Cancellation Policy


Cancelling or rescheduling will be considered timely if it is handled according to the cancellation/reschedule timeline below. If a holiday occurs during the cancellation/reschedule period, the policy remains the same.

To avoid late cancel/reschedule fee (within two business days of appointment), the appointment must be cancelled or rescheduled by midnight, Eastern Time (ET) on the day shown in the second column.

To avoid three – 10 business day cancel/reschedule fee, the appointment must be cancelled or rescheduled by midnight, Eastern Time (ET), on the day shown in the third column.

Appointment is scheduled forWithin two business daysWithin 3 – 10 business days
Sunday, MondayWednesday of the preceding weekSunday two weeks before
TuesdayThursday of the preceding weekMonday two weeks before
WednesdaySunday of the same weekTuesday two weeks before
ThursdayMonday of the same weekWednesday two weeks before
FridayTuesday of the same weekThursday two weeks before
SaturdayWednesday of the same weekFriday two weeks before

Fees


Three to 10 Business Day Cancellation/Reschedule Fee:  If you cancel or reschedule an appointment within three to 10 business days of your scheduled appointment, you will be assessed a cancellation/reschedule fee as outlined below. At the time you cancel an appointment, Prometric will require a credit card payment to collect the fee.

Late Cancellation/Reschedule Fee (Within Two Business Days):  If you reschedule or cancel an appointment within two business days of a scheduled appointment, or fail to show up, you will be assessed a fee equal to the fee of the exam. FINRA will charge this fee to your firm or, if you registered using the Test Enrollment Services System (TESSTM), you will forfeit the pre-paid fee. You then must open a new enrollment window—and pay the associated exam fee—before scheduling a new appointment.

As outlined below, appointments rescheduled or cancelled within 10 business days will incur the existing fee at the time the appointment is changed.

SeriesExaminationWithin 2 business day cancellation/reschedule feeThree – 10 business day cancellation/reschedule fee
SIESecurities Industry Essentials (SIE)$80$40
3National Commodities Futures Exam (CR)$140$70
4Registered Options Principal Exam (OP)  $155$77.50
6Investment Company and Variable Contracts Products Representative Exam (IR)  $75 $37.50
7General Securities Representative Exam (GS)   $300 $150
9General Securities Sales Supervisor Options Module Exam (SU)  $130$65
10General Securities Sales Supervisor General Module Exam (SU)   $175$87.50
14Compliance Officer Exam (NYSE-CO)  $350$175
16Supervisory Analyst Exam (NYSE-SA)
[one or two parts depending on NYSE requirements]  
$245$122.50
22Direct Participation Programs Representative Exam (DR)  $60$30
23General Securities Principal Exam - Sales Supervisor (GP)   $105$52.50
24General Securities Principal Exam (GP)  $175$87.50
26Investment Company and Variable Contracts Products Principal Exam (IP)   $150 $75
27Financial and Operations Principal Exam (FN)  $175$87.50
28Introducing Broker/Dealer Financial and Operations Principal Exam (FI)   $150$75
30NFA Branch Manager Exam (formerly, Branch Managers Exam – Futures)  $90$45
31Futures Managed Funds Exam  $90$45
32Limited Futures Exam - Regulations  $90$45
34Retail Off-Exchange Forex Exam  $90$45
39Direct Participation Programs Principal Exam (DP)  $100$50
50Municipal Advisor Representative Exam  $115$57.50
51Municipal Fund Securities Limited Principal Exam (FP)  $105$52.50
52Municipal Securities Representative Exam (MR)  $110$55
53Municipal Securities Principal Exam (MP)  $115$57.50
54Municipal Advisor Principal  $115$57.50
57Securities Trader Representative Exam (TD)  $80 $40
63Uniform Securities Agent State Law Exam (AG)  $147$73.50
65Uniform Investment Adviser Law Exam (RA)  $187$93.50
66Uniform Combined State Law Exam (AG and/or RA)  $177$88.50
79Investment Banking Representative Exam (IB)  $300$150
82Private Securities Offerings Representative Exam (PR)  $60 $30
86Research Analyst Exam (RS) Part I Analysis Module   $225 $112.50
87Research Analyst Exam (RS) Part II Regulations Module  $150$75
99Operations Professional Exam (OS)$60 $30

If you need to reschedule or cancel your qualification exam appointment, please contact Prometric at (800) 578-6273. For all additional assistance, please contact the FINRA Support Center at (240) 386-4040.