Notices to Members

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Notice I-21-03

January 19, 2021

Remote Online Testing Available for Candidates Seeking to Take Futures Industry Proficiency Examinations

FINRA administers the futures industry proficiency exams on behalf of NFA including the Series 3, Series 30, Series 31, Series 32 and Series 34. Beginning today, candidates may choose to take these exams either at a local test center or remotely proctored online. Online testing will be delivered and remotely proctored by FINRA's testing provider, Prometric. Prometric allows candidates to use a personal or firm-provided, webcam-equipped computer to take proficiency exams remotely. Prometric staff proctors each exam using the webcam and other online tools.

To be eligible for an online testing appointment, candidates must not have a concurrent appointment at a test center and must meet FINRA's technical and remote environment requirements. Candidates who are currently scheduled to take an exam at a test center but wish to change to an online testing appointment should confirm they meet the technical and remote environment requirements and are aware of any rescheduling policies before cancelling a test center appointment. Firms considering online testing through their network and firm-issued equipment should review FINRA's technical requirements pertaining to equipment, networking and information security. Additional details regarding the online testing requirements and appointment scheduling are available on FINRA's website.

Note that NFA's Swaps Proficiency Requirements are not impacted by this change.

If you have any questions, please contact NFA's Information Center (800-621-3570 or 312-781-1410 or

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