Review Email 1 and Then Write an Email to Tess

Account Creation

1. I am a new user and need to asking an enrollment. How do I log into TESS?

Please visit our "Enroll for a Series Exam" page and select the appropriate link for the test you are requesting. Note that before you tin can enroll as a new user for an examination using TESS, you must create a contour by clicking the "Register New User" link on the TESS login page.

two. I already have a U10 account, and I've submitted a U10 class filing in the past. How do I log into TESS?

Your U10 login credentials will work for TESS, but you may be required to provide additional information when you access TESS. If yous accept forgotten your user ID or password, please apply the "Forgot User ID or Password?" link on the TESS login page.

3. What are the eligibility requirements to submit an enrollment asking through TESS?

In order to submit an enrollment through TESS, y'all:

• must be at least 18 years of historic period;
• must provide personal identifying information such as name and date of nascence; and
• cannot be actively registered in Spider web CRD.

4. Why am I required to provide my Social Security number (SSN) when creating a new profile in TESS?

Your SSN is required to verify your identity and will exist transmitted to FINRA using an encrypted connection. If you do non accept an SSN, you will be required to enter your mother'due south maiden proper noun. Note: If yous have an SSN and do not provide it, or you provide inaccurate information, FINRA will non post your score to Web CRD, and you lot may be required to requalify by examination.

five. What is the CRD number on the "Create Profile" screen?

A CRD number is a unique number the Web CRD organization assigns to every individual who has a tape in this arrangement. On the "Create Contour" screen, if y'all have a CRD number, you are required to enter it. Please contact your firm if you lot do non know your CRD number, or you lot may look it upwards in BrokerCheck^®. NOTE: Yous volition not be authorized to employ TESS if you are currently employed by a FINRA member firm in a registered capacity.

vi. Why do I need to select the "I am not a robot" selection on the screen during my profile cosmos in TESS?

The "I am not a robot" pick will permit FINRA to block spammers and automated computer scripts from gaining unauthorized access to the system and secure data. The software analyzes various factors to ensure that a homo, rather than a robot, is attempting to log into TESS. The system may prompt users trying to register to identify a common object among several pictures. If the object in the pictures is non easily identified, select the refresh button

until a familiar object is presented. An sound selection is besides available.

7. I made a typographical mistake and provided an incorrect SSN. What should I do?

Please contact the FINRA Support Team at (240) 386-4040 for assistance with correcting your SSN.

Requesting an Exam and Payment

1. What are the sponsorship requirements for FINRA qualification exams?

FINRA will require sponsorship approving by a regulatory agency (equally listed in TESS during an enrollment request) in order to corroborate an enrollment request for any FINRA qualification exam. An enrollment request will not be approved until the necessary potency is provided direct to FINRA by the advisable regulatory authority. If the required say-so is non received from the appropriate regulatory potency within xxx days of the date of request, so the enrollment request will not be approved and whatever payments made will non be refunded.

2. Why isn't the organisation allowing me to select a detail examination?

You may non be able to asking a particular test for one of the post-obit reasons:

• You already have an open up enrollment for this test. Delight check the "My Exams" page.
• You take passed this examination within the last two years. In that example, you are not allowed to retake it. Please review the "My Exams" page for your exam history.
• You lot may have been registered past a firm in the Web CRD system. Please contact your firm about enrolling for an exam.

3. What happens if I disagree to the Rules of Conduct or the Payment Agreement while requesting an enrollment?

Yous are required to agree to these agreements before you can request an enrollment.

4. I submitted an exam asking and received a payment confirmation electronic mail, but the test is not showing upwards on the "My Exams" page. What should I practise?

Please contact the FINRA Support Team at (240) 386-4040 and provide the payment confirmation number.

v. What forms of payment are accepted?

TESS accepts credit cards, debit cards and Automatic Clearing House (ACH). Delight note that ACH requests may take additional fourth dimension (typically up to 48 hours) to process. Information is transmitted to FINRA using an encrypted connectedness, which ensures that your information is encrypted during transmission. In one case the payment has been successfully submitted for an enrollment request through TESS, a confirmation electronic mail will be sent to you using the email address provided during registration.

6. If I make up one's mind non to have the exam I requested, can I get a refund?

Once payment for an enrollment asking through TESS has been processed, refund requests are non accepted. Payments cannot be transferred to another exam for yourself or another individual.

My Exam Requests

1. My request is displaying a "Pending FINRA Review" status. What does that mean?

"Pending FINRA Review" status means that FINRA is reviewing your enrollment request. Requests are typically processed within two business days. For exams requiring sponsorship, the requests are not processed until the required information is received. If the required data is not received within 30 days, the request will be denied and the payment volition not be refunded.

2. My request is displaying a "Processing Request" status. What should I do?

"Processing Request" status means that TESS is processing your enrollment request, and the condition will be updated as soon as the processing is complete, typically within one business twenty-four hour period. Delight bank check back for an update, or expect for the email notification.

3. My request is displaying a "Denied" status. What does that mean?

Your request has been denied because you did non encounter the requirements to take this examination.

4. Why is my exam window kickoff appointment in the future?

Exams take waiting periods for individuals who take previously failed the examination. The window start date takes into account these waiting periods.

Scheduling an Date and Test Results

one. How do I schedule or reschedule an appointment?

Once the enrollment is canonical, it is valid for 120 calendar days. If your exam is available for scheduling, you should see a "Schedule Exam" button on the My Exams page in TESS. View more than information about scheduling, rescheduling or canceling your date.

If you do not meet the "Schedule Test" button, delight refer to the request status-related FAQs under "My Exam Requests."

2. What data is needed to schedule an date?

At the time of scheduling an date, y'all are required to provide your terminal name, get-go name and ID number to bank check for eligibility. Each private who enrolls through TESS is assigned a unique ID number. This number volition be included in the Find of Enrollment email sent upon the enrollment asking approval and is too displayed on the "My Profile" folio in TESS.

If you accept registered through the U10 system in the past, the same ID number is associated with your TESS profile.

3. I demand an adaptation to accept my exam. How can I apply?

View our testing accommodations page for more information on obtaining accommodations. If you lot are requesting accommodations, delight do non schedule an date until the asking is processed.

iv. Where can I find my test results?

Within 72 hours of completing the examination, TESS will display the exam result and the exam engagement under "My Exams."

5. How can I become a copy of my score study?

Delight contact FINRA Support Team at (240) 386-4040 to asking a copy of your score study.

6. I failed the test or my test window expired. What should I do to retake the exam?

You lot must resubmit the enrollment asking through TESS and submit payment information for the new exam enrollment.

FINRA Support Squad

1. Who can I contact if I have additional questions?

The FINRA Back up Team is available at (240) 386-4040 Monday through Friday, 8 a.m. to 8 p.m. ET.

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Source: https://www.finra.org/registration-exams-ce/qualification-exams/securities-industry-essentials-exam/tess-faq

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