Process
Plan retakes and state registration accurately
Understand the 30/30/180-day waiting pattern, enrollment window and limits of an exam pass.
Use the waiting periods correctly
After the first and second failures, the minimum wait is 30 days. After the third failure and each subsequent failure, it is 180 days.
Watch the testing window
The NASAA guide describes a 120-day window after enrollment. Schedule early enough to preserve options if plans change.
Ethics25%
Communications20%
Agents13%
Broker-dealers12%
Remedies11%
Securities9%
Advisers5%
IARs5%
Know who enrolls
A broker-dealer may file Form U4, while an unaffiliated individual can use FINRA's enrollment service and pay the current fee.
Confirm each state's requirements
A passing result satisfies only part of registration. State applications, affiliations, fees and other conditions still control.