April 18, 2021

Volume XI, Number 108

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April 16, 2021

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FINRA Provides Additional FINRA Exams Online

Effective February 24, and in response to the ongoing challenges posed by the COVID-19 pandemic, the Financial Industry Regulatory Authority (FINRA) is providing an interim accommodation to allow candidates to take additional FINRA exams online, including the Series 24, Series 57, Series 79 and Series 99 exams. An interim accommodation request is not required for the Securities Industry Essentials (SIE), Series 6 or Series 7 exams, which have been available online for all candidates since mid-July 2020.

To request an interim accommodation, candidates should visit the Schedule An Exam page on the FINRA website, and are required to submit to FINRA an Online Exam Administration Request Form. The candidates will need to provide an explanation as to why they are making a request to take an exam online.

FINRA Remote Exam Updates Announcement

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©2021 Katten Muchin Rosenman LLPNational Law Review, Volume XI, Number 57
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TRENDING LEGAL ANALYSIS

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About this Author

Susan Light, Katten Law Firm, Finance Law Attorney, New York
Partner

Susan Light focuses her practice on financial services regulatory matters. She counsels broker-dealers, hedge funds, investment banks and financial services clients on enforcement issues involving the Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), other self-regulatory organizations (SROs) and state and federal regulatory authorities. She has particular experience related to sales practice issues, financial and operational issues, anti-money laundering, crowdfunding, cybersecurity, and cryptocurrencies.

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212-940-8599
Gregory Uffner, Financial Services Attorney, Katten Law Firm
Associate

Gregory Uffner is an associate in the Financial Services practice. 

While in law school, Gregory was an associate editor for the Moot Court Board, a member of the Fordham Urban Law Journal and served as managing editor for the Fordham Sports Law Forum.

212.940.6485
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