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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.",{"@graph":69,"@context":123},[70,84,106],{"@type":71,"itemListElement":72},"BreadcrumbList",[73,77,79,82],{"item":74,"name":75,"@type":76,"position":8},"https://docshare.wps.com","Home","ListItem",{"item":78,"name":9,"@type":76,"position":14},"https://docshare.wps.com/document/",{"item":80,"name":20,"@type":76,"position":81},"https://docshare.wps.com/document/exam/",3,{"item":83,"name":65,"@type":76,"position":19},"https://docshare.wps.com/document/besin-new-form-form-u10-financial-industry-regulatory-authority/393674/",{"url":83,"name":65,"@type":85,"image":86,"author":91,"headline":65,"publisher":94,"fileFormat":97,"inLanguage":63,"description":67,"dateModified":98,"datePublished":99,"encodingFormat":97,"isAccessibleForFree":100,"interactionStatistic":101},"DigitalDocument",{"url":87,"@type":88,"width":89,"height":90},"https://docshare.wps.com/thumbnails/besin-new-form-form-u10-financial-industry-regulatory-authority/393674.png","ImageObject",300,407,{"name":92,"@type":93},"Jasmine","Person",{"url":74,"name":95,"@type":96},"DocShare","Organization","application/pdf","2026-11-08","2026-09-26",true,{"@type":102,"interactionType":103,"userInteractionCount":105},"InteractionCounter",{"@type":104},"ViewAction",12,{"@type":107,"mainEntity":108},"FAQPage",[109,115,119],{"name":110,"@type":111,"acceptedAnswer":112},"What does FINRA Form U10 require from the candidate and firm?","Question",{"text":113,"@type":114},"It requires candidate personal information and firm information, including contact details, phone, email, and address fields. All fields marked with an asterisk are mandatory.","Answer",{"name":116,"@type":111,"acceptedAnswer":117},"How do applicants select the regulatory agency for their qualification or registration?",{"text":118,"@type":114},"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.",{"name":120,"@type":111,"acceptedAnswer":121},"Where are the listed NFA and MSRB exams enrolled, and what link is provided?",{"text":122,"@type":114},"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.","https://schema.org",{"og:url":83,"og:type":125,"og:title":65,"og:site_name":95,"og:description":67},"article",{"robots":127,"canonical":83},"index,follow",{"doc_id":129,"site_id":62},393674,1791246287,{"code":4,"msg":5,"data":132},{"doc_id":129,"user_id":133,"nickname":92,"user_avatar":134,"doc_module":4,"category_id":19,"category_name":20,"doc_title":65,"doc_description":67,"doc_content":135,"file_id":136,"file_url":137,"file_type":138,"file_size":139,"view_count":105,"is_deleted":4,"is_public":8,"is_downloadable":8,"audit_status":8,"page_count":14,"language":140,"language_code":63,"site_id":62,"html_lang":63,"table_of_contents":141,"faqs":142,"seo_title":143,"seo_description":67,"update_tm":144,"read_time":24,"preview_page_count":4},2336478487870,"https://ap-avatar.wpscdn.com/davatar_085a072bc5b1113ac321206ff7593b45","# Financial Industry Regulatory Authority\n\nBesin New Form  \nForm U10  \nAll felds marked with*are mandatory.  \n# Information\n\nRevew the Fom Instructions prior to completing the fom  \n1.Candidate Personal Information  \n2.Firm Information  \nFirm Name  \nContact First Name  \nContact Last Name  \nPhone  \nEmail Address  \nEmail Address (confrm)  \nStreetAddress Line 1  \nStreet Address Line 2二  \nProvince/Region (ifoutside U.S.)ZipPostal Code  \nCountry  \nUnited States  \n## 3.Regulatory Agency\n\nIdentify the state,self regulatory,or bank regulatory agency with which the fim isregistered andis requiring the qualification/registration of the candidate:  \nO NYSE AMEX  \nO Chicago Board Options Exchange  \nO Comptroller of the Curency  \nO Federal Deposit Insurance Corporation  \nO Federal Reserve BoardO Chicago Stock Exchange  \nO National Futures Association  \nPL  \nO New York Stock Exchange  \nO NYSE ARCA  \nO NASDAQ OMXPHLX Inc  \nO Securities and Exchange Commission  \nO MSRB(Municipal Securties Rulemaking Board)  \nO State Of (dentify the state and regulatory agency)  \nO Other (indicate the fll name ofthe regulatory authority)  \nO None  \n## 4.NFA/MSRB Exams:\n\nThe following NFA Exams have been moved to the Test Enrollment Services System(TESS).  \n·senes 3 Nationai uommoates rutures Examination  \n·Series 31 Futures Managed Funds Examination  \n·Senies 32 Limited Futures Examination-Regulation  \n·Series 34 Retail Of-Exchange Forex Examination  \nThe following MSRB Examshave been moved to the Test Enrollment Services System (TESS).  \n·Series 50 Municipal Advisor Representative Qualification Examination  \nSeres 51 Municipal Fund Secunities Limited Principal  \n·Series 52Municipal Secunties Representative  \n·Series 53 Municipal Securties Principal  \nIfyou would like to request any of these NFA or MSRB exams,please visit the following link:  \nhttps://www.finra.org/enroll  \n## 5.FINRA Programs:\n\nFNRA 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,  \n87)or CE Session(S101,106,201,901),please visit the folowing ink:  \nhttps://www.finra.org/enroll  \n## 6.NASAA Examinations\n\nCheck the approprate boxes)for each examination to request enroliment The applicableexamination fee followseach test.  \nThe flowing examinations do not require authonzation froma State Adn tratcs  utcyorganization.  \n□ Series63 Uniom Securities Agent State Law Examination  \nS125  \n□Series65 Unifom lInvestmentAdisor LawExamination  \n$165  \n□Series66 Unifom Combined State Law Examination  \n$155  \n## 7.Payment\n\nTotal charges for your exams are $0  \nContinue  \nReview&Submit  \nC2017 FNRA.Arghts reserved.FNRA sa regislerod trademarkof the Fnancial houstry Reguatory Authorty,ne","cbCailosNyLHusm7","https://ap.wps.com/l/cbCailosNyLHusm7","pdf",249324,"English","# Information\n## 3. Regulatory Agency\n## 4. NFA/MSRB Exams\n## 5. FINRA Programs\n## 6. NASAA Examinations\n## 7. Payment","[{\"question\":\"What does FINRA Form U10 require from the candidate and firm?\",\"answer\":\"It requires candidate personal information and firm information, including contact details, phone, email, and address fields. All fields marked with an asterisk are mandatory.\"},{\"question\":\"How do applicants select the regulatory agency for their qualification or registration?\",\"answer\":\"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.\"},{\"question\":\"Where are the listed NFA and MSRB exams enrolled, and what link is provided?\",\"answer\":\"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.\"}]","Besin New Form - Form U10 - Financial Industry Regulatory Authority | PDF",1790391755]