[{"data":1,"prerenderedAt":-1},["ShallowReactive",2],{"doc-seo-394400-105":3,"detail-sidebar-cat-0-en-105":81,"doc-detail-394400-en":131},{"code":4,"msg":5,"data":6},0,"ok",{"site_id":7,"language":8,"slug":9,"title":10,"keywords":11,"description":12,"schema_data":13,"social_meta":74,"head_meta":76,"extra_data":78,"updated_unix":80},105,"en","form-u10-uniform-examination-request-for-non-finra-candidates","Form U10 - Uniform Examination Request for Non-FINRA Candidates","","Uniform Examination Request for Non-FINRA Candidates (Form U10) collects candidate identity details and firm information, then records the regulator state/SRO/bank agency requiring the qualification or registration. It provides structured sections to select requested FINRA examinations, including those approved only with direct authorization, and lists specific exam series with associated fees. It also includes authorization rules for municipal securities dealers and for examinations that require no external authorization, plus designated continuing education training programs and their pricing.",{"@graph":14,"@context":73},[15,34,56],{"@type":16,"itemListElement":17},"BreadcrumbList",[18,23,27,31],{"item":19,"name":20,"@type":21,"position":22},"https://docshare.wps.com","Home","ListItem",1,{"item":24,"name":25,"@type":21,"position":26},"https://docshare.wps.com/document/","Document",2,{"item":28,"name":29,"@type":21,"position":30},"https://docshare.wps.com/document/exam/","Exam",3,{"item":32,"name":10,"@type":21,"position":33},"https://docshare.wps.com/document/form-u10-uniform-examination-request-for-non-finra-candidates/394400/",4,{"url":32,"name":10,"@type":35,"image":36,"author":41,"headline":10,"publisher":44,"fileFormat":47,"inLanguage":8,"description":12,"dateModified":48,"datePublished":49,"encodingFormat":47,"isAccessibleForFree":50,"interactionStatistic":51},"DigitalDocument",{"url":37,"@type":38,"width":39,"height":40},"https://docshare.wps.com/thumbnails/form-u10-uniform-examination-request-for-non-finra-candidates/394400.png","ImageObject",300,407,{"name":42,"@type":43},"Connor ","Person",{"url":19,"name":45,"@type":46},"DocShare","Organization","application/pdf","2026-11-08","2026-09-26",true,{"@type":52,"interactionType":53,"userInteractionCount":55},"InteractionCounter",{"@type":54},"ViewAction",12,{"@type":57,"mainEntity":58},"FAQPage",[59,65,69],{"name":60,"@type":61,"acceptedAnswer":62},"What information does Form U10 collect about the candidate and firm?","Question",{"text":63,"@type":64},"Form U10 requests candidate legal name and Social Security Number, along with contact address and email. It also gathers firm name, firm address, and contact details including contact name, telephone number, and email.","Answer",{"name":66,"@type":61,"acceptedAnswer":67},"Which examinations require authorization under Item 3?",{"text":68,"@type":64},"Section A states that certain examination requests are approved and administered by FINRA only when the required authorization is received directly from the state administrator or self-regulatory organization identified under Item 3.",{"name":70,"@type":61,"acceptedAnswer":71},"Are there examination requests and continuing education programs that do not require external authorization?",{"text":72,"@type":64},"Section C lists examinations that do not require authorization from a State Administrator or self-regulatory organization, and Section D lists continuing education computer-based training programs that require the authorization specified under Item 3.","https://schema.org",{"og:url":32,"og:type":75,"og:title":10,"og:site_name":45,"og:description":12},"article",{"robots":77,"canonical":32},"index,follow",{"doc_id":79,"site_id":7},394400,1790722442,{"code":4,"msg":82,"data":83},"success",[84,88,92,95,100,105,110,115,120,123,127],{"id":22,"doc_module":4,"doc_module_name":25,"category_name":85,"show_sort_weight":86,"slug":87},"Story & Novel",90,"story-novel",{"id":26,"doc_module":4,"doc_module_name":25,"category_name":89,"show_sort_weight":90,"slug":91},"Literature",80,"literature",{"id":33,"doc_module":4,"doc_module_name":25,"category_name":29,"show_sort_weight":93,"slug":94},70,"exam",{"id":96,"doc_module":4,"doc_module_name":25,"category_name":97,"show_sort_weight":98,"slug":99},5,"Comic",60,"comic",{"id":101,"doc_module":4,"doc_module_name":25,"category_name":102,"show_sort_weight":103,"slug":104},6,"Technology",50,"technology",{"id":106,"doc_module":4,"doc_module_name":25,"category_name":107,"show_sort_weight":108,"slug":109},7,"Healthcare",40,"healthcare",{"id":111,"doc_module":4,"doc_module_name":25,"category_name":112,"show_sort_weight":113,"slug":114},8,"Research & Report",30,"research-report",{"id":116,"doc_module":4,"doc_module_name":25,"category_name":117,"show_sort_weight":118,"slug":119},9,"Religion & Spirituality",20,"religion-spirituality",{"id":118,"doc_module":4,"doc_module_name":25,"category_name":121,"show_sort_weight":118,"slug":122},"World Cup","world-cup",{"id":124,"doc_module":4,"doc_module_name":25,"category_name":125,"show_sort_weight":124,"slug":126},10,"Lifestyle","lifestyle",{"id":128,"doc_module":4,"doc_module_name":25,"category_name":129,"show_sort_weight":96,"slug":130},19,"General","general",{"code":4,"msg":82,"data":132},{"doc_id":79,"user_id":133,"nickname":42,"user_avatar":134,"doc_module":4,"category_id":33,"category_name":29,"doc_title":10,"doc_description":12,"doc_content":135,"file_id":136,"file_url":137,"file_type":138,"file_size":139,"view_count":55,"is_deleted":4,"is_public":22,"is_downloadable":22,"audit_status":22,"page_count":26,"language":140,"language_code":8,"site_id":7,"html_lang":8,"table_of_contents":141,"faqs":142,"seo_title":143,"seo_description":12,"update_tm":144,"read_time":96,"preview_page_count":4},687207022233,"https://ap-avatar.wpscdn.com/davatar_155a257f0dc6eb9ab79c44ca47cae57d","Form U10  \nUniform Examination Request for Non-FINRA Candidates  \n1. Candidate Information  \nLegal Name   Social Security Number    \nStreet Address   \nCity   State   Zip  Email Address    \n2. Firm Information  \nFirm Name   Firm Address    \nCity   State   Zip   \nContact Name   Telephone Number   Email Address    \n3. Regulator  \nIdentify the state, self-regulatory, or bank regulatory agency with which the firm is registered and is requiring the qualification/registration of the candidate:  \n􀂉 American Stock Exchange  \n􀂉 Chicago Board Options Exchange  \n􀂉 Comptroller of the Currency  \n􀂉 Federal Deposit Insurance Corporation  \n􀂉 Federal Reserve Board  \n􀂉 Midwest Stock Exchange  \n􀂉 National Futures Association  \n􀂉 New York Stock Exchange  \n􀂉 Archipelago Exchange (formerly the Pacific Stock Exchange)  \n􀂉 Philadelphia Stock Exchange  \n􀂉 State of (identify the State and the regulatory agency)  \n􀂉 OTHER (indicate the full name of the regulatory authority)  \n4. Examinations  \nCheck the appropriate box(es) for each examination to request registration. The applicable examination fee follows each test.  \nA. 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 selfregulatory 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.  \n􀂉 Series 4 Registered Options Principal  \n􀂉 Series 5 Interest Rate Options  \n􀂉 Series 6 Investment Company and Variable Contracts Products Representative  \n􀂉 Series 7 General Securities Representative  \n􀂉 Series 9 General Securities Sales Supervisor-Options Module  \n􀂉 Series 10 General Securities Sales Supervisor-General Module  \n$ 80  \n$ 60  \n$ 75  \n$250  \n$ 60  \n$100  \n􀂉 Series 11 Assistant Representative-Order Processing $ 60  \n􀂉 Series 12 Branch Manager $ 80  \n􀂉 Series 15 Foreign Currency Options $ 60  \n􀂉 Series 22 Direct Participation Programs Representative $ 75  \n􀂉 Series 23 General Securities Principal Qualification Examination Sales Supervisor Module  \n$ 75  \n􀂉 Series 24 General Securities Principal $ 95  \n􀂉 Series 26 Investment Company and Variable Contracts Products Principal $ 75  \n􀂉 Series 27 Financial and Operations Principal $ 95  \n􀂉 Series 28 Introducing Broker/Dealer Financial and Operations Principal $ 75  \n􀂉 Series 39 Direct Participation Programs Principal $ 75  \n􀂉 Series 42 Registered Options Representative $ 60  \n􀂉 Series 55 Limited Representative Equity Trader $ 85  \n􀂉 Series 62 Corporate Securities Representative $ 75  \n􀂉 Series 72 Government Securities Representative $ 85  \n􀂉 Series 86 Research Analyst Part I – Analysis Module $150  \n􀂉 Series 87 Research Analyst Part II – Regulatory Module $105  \nB. The following examination requests will be approved only for individuals associated with municipal securities dealers registered with the bank regulatory agency identified under Item 3.  \n􀂉 Series 51 Municipal Fund Securities Principal $ 75  \n􀂉 Series 52 Municipal Securities Representative $ 80  \n􀂉 Series 53 Municipal Securities Principal $ 80  \nC. The following examinations do not require authorization from a State Administrator or selfregulatory organization.  \n􀂉 Series 3 National Commodities Futures $ 95  \n􀂉 Series 30 Branch Managers Examination-Futures $ 60  \n􀂉 Series 31 Futures Managed Funds Examination $ 60  \n􀂉 Series 32 Limited Futures Examination-Regulation $ 60  \n􀂉 Series 63 Uniform Securities Agent State Law Examination $ 82  \n􀂉 Series 65 Uniform Investment Advisor Law Examination $120  \n􀂉 Series 66 Uniform Combined State Law Examination $113  \nD. The following Continuing Education computer based training programs will be approved and administered by FINRA only when the required authorization is received directly from the respective State Administrator or self-regulat","cbCaisu2Mrktf2I7","https://ap.wps.com/l/cbCaisu2Mrktf2I7","pdf",22645,"English","# Candidate Information\n# Firm Information\n# Regulator\n# Examinations","[{\"question\":\"What information does Form U10 collect about the candidate and firm?\",\"answer\":\"Form U10 requests candidate legal name and Social Security Number, along with contact address and email. It also gathers firm name, firm address, and contact details including contact name, telephone number, and email.\"},{\"question\":\"Which examinations require authorization under Item 3?\",\"answer\":\"Section A states that certain examination requests are approved and administered by FINRA only when the required authorization is received directly from the state administrator or self-regulatory organization identified under Item 3.\"},{\"question\":\"Are there examination requests and continuing education programs that do not require external authorization?\",\"answer\":\"Section C lists examinations that do not require authorization from a State Administrator or self-regulatory organization, and Section D lists continuing education computer-based training programs that require the authorization specified under Item 3.\"}]","Form U10 - Uniform Examination Request for Non-FINRA Candidates | PDF",1790402921]