Series 14: 7.3.5.3. FINRA Licensing Examination Waivers

Taken from our Series 14 Online Guide

7.3.5.3. FINRA Licensing Examination Waivers

FINRA is permitted to waive the examinations in “exceptional cases and where good cause is shown.” Related experience, education, regulatory experience, and related exams passed may be grounds for waiver requests. Age and/or physical infirmity are factors FINRA may consider, but they alone are not sufficient grounds for a waiver. Also, English as a second language (ESL) is not considered grounds for a waiver, but ESL candidates can request additional time (30 to 60 minutes) to take an exam. Principal exam

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