Besin New Form - Form U10 - Financial Industry Regulatory Authority

Sep 26, 2026

Uploaded by Jasmine

FINRA Form U10 collects candidate personal details and firm information required for qualification or registration. The form instructs applicants to review the FINRA program guidance before completing required fields marked with an asterisk. It also requires selecting the relevant regulatory agency state/self-regulatory/bank authority, and lists moved NFA and MSRB exams that use the Test Enrollment Services System (TESS), with FINRA program exam enrollment instructions and applicable references for fees and exam enrollment requests.

LanguageEnglish

CategoryExam

FormatPDF

Pages2

Reading Time5 min

AccessFree to download

Information

3. Regulatory Agency

4. NFA/MSRB Exams

5. FINRA Programs

6. NASAA Examinations

7. Payment

# Financial Industry Regulatory Authority Besin New Form Form U10 All felds marked with*are mandatory. # Information Revew the Fom Instructions prior to completing the fom 1.Candidate Personal Information 2.Firm Information Firm Name Contact First Name Contact Last Name Phone Email Address Email Address (confrm) StreetAddress Line 1 Street Address Line 2二 Province/Region (ifoutside U.S.)ZipPostal Code Country United States ## 3.Regulatory Agency Identify the state,self regulatory,or bank regulatory agency with which the fim isregistered andis requiring the qualification/registration of the candidate: O NYSE AMEX O Chicago Board Options Exchange O Comptroller of the Curency O Federal Deposit Insurance Corporation O Federal Reserve BoardO Chicago Stock Exchange O National Futures Association PL O New York Stock Exchange O NYSE ARCA O NASDAQ OMXPHLX Inc O Securities and Exchange Commission O MSRB(Municipal Securties Rulemaking Board) O State Of (dentify the state and regulatory agency) O Other (indicate the fll name ofthe regulatory authority) O None ## 4.NFA/MSRB Exams: The following NFA Exams have been moved to the Test Enrollment Services System(TESS). ·senes 3 Nationai uommoates rutures Examination ·Series 31 Futures Managed Funds Examination ·Senies 32 Limited Futures Examination-Regulation ·Series 34 Retail Of-Exchange Forex Examination The following MSRB Examshave been moved to the Test Enrollment Services System (TESS). ·Series 50 Municipal Advisor Representative Qualification Examination Seres 51 Municipal Fund Secunities Limited Principal ·Series 52Municipal Secunties Representative ·Series 53 Municipal Securties Principal Ifyou would like to request any of these NFA or MSRB exams,please visit the following link: https://www.finra.org/enroll ## 5.FINRA Programs: FNRA Exams have been moved to the Test Enroliment Senices System(TESS)Ifyou would like torequest any FNRA Qualfcation Exam (Senes 4,6,7,9,10.11.22,23,24,26,27,28,39,42,57,62,86, 87)or CE Session(S101,106,201,901),please visit the folowing ink: https://www.finra.org/enroll ## 6.NASAA Examinations Check the approprate boxes)for each examination to request enroliment The applicableexamination fee followseach test. The flowing examinations do not require authonzation froma State Adn tratcs utcyorganization. □ Series63 Uniom Securities Agent State Law Examination S125 □Series65 Unifom lInvestmentAdisor LawExamination $165 □Series66 Unifom Combined State Law Examination $155 ## 7.Payment Total charges for your exams are $0 Continue Review&Submit C2017 FNRA.Arghts reserved.FNRA sa regislerod trademarkof the Fnancial houstry Reguatory Authorty,ne

FAQs

What does FINRA Form U10 require from the candidate and firm?

It requires candidate personal information and firm information, including contact details, phone, email, and address fields. All fields marked with an asterisk are mandatory.

How do applicants select the regulatory agency for their qualification or registration?

Applicants must identify the state, self-regulatory organization, or bank regulatory agency that is requiring the qualification/registration. They select from the listed options such as SEC, NASDAQ OMX PHLX Inc, or NYSE exchanges, or choose Other/None if applicable.

Where are the listed NFA and MSRB exams enrolled, and what link is provided?

The listed NFA exams and MSRB exams are moved to the Test Enrollment Services System (TESS). The form provides the enrollment link https://www.finra.org/enroll for requesting these exams.

Sep 26, 2026

Uploaded by Jasmine