Form U10 - Uniform Examination Request For Non-Finra Candidates
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2Form U10
Uniform Examination Request for Non-FINRA Candidates
1. Candidate Information
Legal Name
________________________________________
Social Security Number ____________________
Street Address___________________________________________
City _______________________State ______________Zip________________
Email Address ___________________________________
2. Firm Information
Firm Name
__________________________________________
Firm Address
__________________________________________
City _______________________State ______________Zip________________
Contact Name ______________________________Telephone Number ____________________
Email Address _____________________________________
3. Regulator
Identify the state, self-regulatory, or bank regulatory agency with which the firm is registered and is
requiring the qualification/registration of the candidate:
American Stock Exchange
Chicago Board Options Exchange
Comptroller of the Currency
Federal Deposit Insurance Corporation
Federal Reserve Board
Midwest Stock Exchange
National Futures Association
New York Stock Exchange
Archipelago Exchange (formerly the Pacific Stock Exchange)
Philadelphia Stock Exchange
State of (identify the State and the regulatory agency)
OTHER (indicate the full name of the regulatory authority)
4. Examinations
Check the appropriate box(es) for each examination to request registration. The applicable
examination fee follows each test.
A. The following examination requests will be approved and administered by FINRA only when
the required authorization is received directly from the respective State Administrator or self-
regulatory organization identified under Item 3. These examinations are available only to
individuals who have made application for registration with a state regulator or SRO and are
specifically required by the regulator to qualify by one of these examinations.
Series 4 Registered Options Principal
$ 90
Series 5 Interest Rate Options
$ 65
Series 6 Investment Company and Variable Contracts Products Representative
$ 85
Series 7 General Securities Representative
$265
Series 9 General Securities Sales Supervisor-Options Module
$ 70
Series 10 General Securities Sales Supervisor-General Module
$110
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Parent category: Legal