Securities exam day guide: test center and online rules for FINRA exams
Last checked October 17, 2026 · Sources: FINRA Prepare for Your Test Center Appointment, Prepare for Your Online Test Appointment and Online Test Delivery FAQ; Prometric’s FINRA exams page and FINRA policies for firms
On securities exam day, arrive 30 minutes early (or log in 30 minutes early if testing online) with one valid, unexpired government-issued ID that has your photo and signature and exactly matches the name on your appointment. FINRA exams are delivered by Prometric, at a test center or online through its ProProctor system, and the exam clock never pauses, even for unscheduled breaks.
What ID to bring
FINRA says to bring one valid, government-issued ID with both your signature and picture, such as an unexpired driver’s license, passport or military ID. The name must be exactly the same as the name your exam is scheduled under. FINRA won’t accept electronic copies, photocopies or faxes of ID or name-change documents, and expired government IDs are no longer accepted. At the center your photo is taken and your ID inspected.
At a Prometric test center
- Arrive 30 minutes early for check-in; you may be allowed to start early if a seat is free.
- Don’t be more than 30 minutes late. Prometric says you won’t be allowed to test if you arrive more than 30 minutes after your start time and no seat can fit your full testing time; FINRA then charges your firm a late cancellation fee.
- Lock up personal items. Belongings go in your assigned locker or back to your car.
- Use what’s provided: erasable note boards and dry-erase markers are given out in the testing room.
- Breaks: unscheduled breaks are allowed, but the timer keeps running and you’ll sign a logbook and show ID when you leave and return.
Taking a FINRA exam online
- Set up first: download Prometric’s ProProctor application and run the system check, ideally before you schedule and at least a day before your exam, on the computer you’ll use.
- Log in 30 minutes early to complete check-in.
- You’re recorded: FINRA says online candidates are video- and audio-recorded in their testing environment.
- No physical calculator, no scratch paper or note boards for online delivery.
- Same rules otherwise: you agree to FINRA’s Rules of Conduct and Prometric’s security guidelines, and the same retake waiting periods apply as at a test center.
| Test center | Online (ProProctor) | |
|---|---|---|
| Arrival | 30 minutes early | Log in 30 minutes early |
| Scratch work | Erasable note board and markers provided | Not permitted |
| Physical calculator | Follow center rules | Not permitted |
| Unscheduled breaks | Allowed; clock keeps running; sign out and in | Allowed; clock keeps running |
| Monitoring | Test center staff and cameras | Video and audio recording |
From FINRA’s and Prometric’s pages, checked October 17, 2026.
How long the appointment lasts
Prometric schedules an extra 30 minutes on every FINRA appointment for the tutorial before the exam and a short survey afterwards. So an SIE appointment, with its 1 hour 45 minute exam, runs about 2 hours 15 minutes; a Series 7 appointment, with 3 hours 45 minutes of testing, runs about 4 hours 15 minutes, by our arithmetic.
The Rules of Conduct
Before you start, you must agree to FINRA’s Qualification Examinations Rules of Conduct. Kaplan’s exam-day guide notes that violations can lead to disciplinary action by FINRA, another self-regulatory organization or the SEC, and even a bar from working with a securities firm. Never take notes out of the room or share questions afterwards.
When you finish
You get a results report at the end of your session showing pass or fail. If you pass, it shows “pass” without a numeric score; if you fail, it shows your score and how you did in each section. See our securities exam results guide.
Common questions about securities exam day
What ID do I need for the SIE or Series 7?
One valid, unexpired government-issued ID with your photo and signature, such as a driver’s license, passport or military ID, in exactly the name your exam is booked under.
Can I take the SIE online?
Yes. FINRA offers online delivery through Prometric’s ProProctor; you install the app, pass a system check, and are video- and audio-recorded.
What happens if I'm late?
If you’re more than 30 minutes late and no seat can fit your full exam, you won’t be allowed to test, and FINRA charges your firm a late cancellation fee.
Can I take a break during a FINRA exam?
Yes, but the exam clock keeps running during unscheduled breaks.
Can I use scratch paper?
At a test center, erasable note boards and markers are provided. Online, scratch paper and note boards aren’t permitted.
See also our how to register, SIE exam and Series 7 guides. MockTestPrep is independent and is not affiliated with FINRA or Prometric.