Series 65 Exam Accommodations

Who handles Series 65 accommodations

NASAA develops the Series 65 examination, and FINRA administers it. FINRA's Testing Accommodations team reviews requests for changes to standard testing conditions. Prometric schedules and delivers approved appointments. These roles matter: a candidate should direct the accommodation request to FINRA and arrange the appointment with the testing vendor after approval.

A testing accommodation is an adjustment or auxiliary aid intended to give a qualified candidate a fair opportunity to demonstrate knowledge and skill under the exam's standards. It does not change the subject matter, scoring standard or registration requirements. FINRA decides what accommodation is appropriate based on the documentation and the purpose of the exam.

Examples FINRA lists include extra administration time, a reader or recorder, a private testing room, zoom testing or a large-print booklet, and wheelchair-related setup. The list is not a promise that every request will be approved or available in every delivery format. The candidate should describe the functional barrier and the specific adjustment requested.

FINRA says testing sites are wheelchair accessible and can provide arrangements such as a desk at an appropriate height. Some medical devices or medications may be pre-approved by the testing center without an accommodation request; candidates should check the current Prometric list. Items not on the list may need advance review.

Start early and follow the correct order

FINRA's current instructions say a candidate should open the exam window before requesting accommodations and should be approved before scheduling an appointment. NASAA Series 65 FAQs explain that FINRA administers the exam and handles disability accommodations. Starting the request at the beginning of enrollment leaves time for documentation review and appointment availability.

The normal Series 65 exam window and accommodation review are separate processes. Opening a window does not mean the requested adjustment is approved, and submitting a request does not book a Prometric seat. Wait for FINRA's written decision and follow its instructions before selecting an appointment.

FINRA says accommodation requests typically receive a response within 10 business days. Incomplete or insufficient information can delay processing. Candidates should allow additional time to obtain records, speak with a provider, respond to FINRA questions and find a test center able to deliver the approved setup.

Some accommodations require additional preparation at the test center. FINRA's page currently notes that non-computerized paper testing, when approved, requires at least 14 days of preparation and can take seven business days to score and post. Confirm that this option is available for the specific Series 65 request before planning around it.

Submit the FINRA form and supporting records

For a first request or a request for new or increased accommodations, use FINRA's current Testing Accommodations Request Form and instructions. Part One is completed by the candidate or sponsoring firm's registration staff. Part Two is completed by a licensed health care provider or qualified professional whose credentials fit the disability and the requested evaluation.

The professional should know the candidate's disability and current functioning. FINRA's instructions say the provider should have treated or consulted with the candidate within the past five years. The request should connect the condition to the specific testing limitation and explain why the requested change is appropriate.

Supporting documentation can include clinical reports, psychological or educational assessments, neuropsychological evaluations, and records of previous accommodations such as a 504 Plan, IEP or college testing arrangements. FINRA says documentation must establish the disability or record of disability and show how it affects the candidate's ability to complete a FINRA-administered exam.

For a learning disability, FINRA asks for a complete psycho-educational evaluation report with standardized assessment results, including subtests and total scores. For emotional or psychological conditions, it asks for documentation from an appropriate mental health professional. The documentation should be complete enough for reviewers to understand diagnosis, functional effect and the requested testing support.

An old assessment may still establish that a disability exists. FINRA's current guidance distinguishes evidence of diagnosis from evidence of present testing needs: a qualified professional who knows the candidate's current functioning should complete Part Two. Review the specific instructions rather than assuming an old report alone is enough or automatically unusable.

A self-assessment by itself is generally insufficient to establish the qualifying disability. The candidate's description remains useful for explaining how a limitation appears during timed reading, screen navigation, concentration or another exam task. Pair that practical description with the records and professional explanation FINRA requests.

Describe the barrier and request

A strong request is specific. Instead of writing only 'extra time would help,' explain which functional limitation affects reading or responding under standard conditions, what documentation supports it, and how the requested time adjustment addresses the barrier. The professional should explain the recommendation in relation to the candidate's current ability to test.

If requesting more than one change, describe each one and why it is needed. A candidate with a visual disability might request large print or screen zoom; someone with a physical condition may need an accessible workstation or a private room for a medical device. The right request depends on the individual's documented needs, not a standard package.

FINRA reviews whether a modification is reasonable and appropriate and whether it preserves the fundamental nature and purpose of the exam. The provider's recommendation is considered, but FINRA makes the final decision. The approved option may differ from what was requested, so read the written response carefully.

Worked example: a reading-related request

Elena has a documented learning disability that affects reading speed. She has an old educational evaluation and previously received extra time in college. She opens her Series 65 exam window, obtains FINRA's form and asks a qualified professional familiar with her current functioning to complete Part Two. The professional describes the documented limitation under standard timed conditions and explains why additional time is recommended.

Elena includes the complete assessment and prior accommodation information. She describes the tasks that create difficulty without trying to diagnose herself or dictate FINRA's decision. If FINRA asks for missing scores or current functional information, she responds through the channel in its notice. She waits for approval before scheduling the test appointment.

This example does not imply that every reading disability receives the same amount of extra time. FINRA evaluates requests individually and determines the modification based on the evidence. Elena should also check whether the approved testing center has appointment availability for the full duration.

Worked example: a temporary condition

Andre breaks his writing hand shortly before the appointment. He asks whether this temporary injury qualifies for an ADA accommodation. FINRA says transitory conditions such as sprains and fractures do not typically qualify as disabilities under its accommodation process. It also invites candidates to contact FINRA about a case-by-case arrangement when they need one.

Andre should contact FINRA Candidate Services and explain the timing and functional issue before the appointment. He can ask whether rescheduling or another arrangement is available. He should not assume that the disability accommodation form will be approved or that Prometric can change the appointment without prior authorization.

Remote testing and delivery limits

Series 65 exams are generally taken at a Prometric test center. FINRA's current accommodations page says exams other than the SIE are administered at test centers, with exceptions for people who are immunocompromised and at increased risk for severe illness. NASAA's general exam page similarly describes online Series 65 testing as limited to candidates with medical proof that they cannot test in a center.

Online delivery is not an automatic accommodation for any diagnosis or request. The candidate should contact FINRA and follow the current NASAA exam guidance to determine whether the specific circumstances qualify. Some adjustments are available only at a test center, and the platform may support a narrower set of aids than an in-person appointment.

Do not schedule an ordinary online appointment and expect an accommodation to be added later. FINRA says approval must be in place before scheduling. If an appointment is already pending without the approved modification, the candidate may need to cancel and reschedule after FINRA updates the enrollment.

Costs, privacy and firm involvement

FINRA states that candidates are responsible for the cost of obtaining disability documentation. FINRA provides approved testing modifications, aids and services at no cost to the candidate. A candidate can ask a provider about the cost of preparing or updating records before beginning the request.

FINRA says submitted forms and documentation are confidential and used to determine accommodations. It does not release the information without written consent or as required by law. For scheduling, the approved adjustment must be conveyed to the testing vendor so that the appointment can be arranged; the request therefore involves limited information needed to deliver the accommodation.

A sponsoring firm's registration or compliance staff may submit Part One, but firm involvement is not required. FINRA's FAQ says a candidate can request accommodations without involving the firm. If the candidate prefers to handle the request directly, they should use FINRA's candidate process and ask questions about what information, if any, the firm will receive.

Previously approved accommodations and retakes

FINRA says previously approved accommodations are automatically reapplied to a later exam enrollment within five business days. The candidate generally does not need to send another form or supporting documentation for the same approved adjustment. If the candidate wants a different, expanded or increased accommodation, a new request and supporting information are needed.

This policy applies to subsequent FINRA exam enrollments and retakes. A candidate should check the new enrollment after five business days to confirm that the approval is reflected before scheduling. If the accommodation is missing or the new exam needs a different setup, contact FINRA rather than assume the earlier approval carried over correctly.

Retake accommodation approval does not change the Series 65 waiting periods or exam eligibility. Candidates should check the current NASAA retake rule separately and plan the next enrollment and accommodation scheduling together. Keep the approval notice and request records available.

A practical request timeline

1. Confirm the current Series 65 exam enrollment process and open the exam window.
2. Read FINRA's current Testing Accommodations page and download the current request form.
3. Ask a qualified professional to complete Part Two and collect records that explain diagnosis and current testing impact.
4. Submit the complete form and documentation to FINRA; retain a copy and note the submission date.
5. Allow at least the stated review time, plus extra time for requests that need clarification or further records.
6. Read FINRA's written decision and confirm the accommodation appears on the enrollment.
7. After approval, schedule through Prometric using the approved delivery format and location.
8. Confirm appointment details and contact FINRA promptly if the approved setup is missing.

The process has a few handoffs, so keep the confirmation emails and approval notice together. If the test date is near, contact FINRA Candidate Services to ask about timing rather than assuming a request is complete. FINRA lists (240) 386-4040 for questions and [email protected] for accommodation submissions; verify the current instructions before sending confidential documentation.

Common accommodation mistakes

Do not schedule before approval. FINRA says the accommodation must be approved and added to the enrollment first. Otherwise, the candidate may have to cancel a pending appointment and choose a new one.

Do not submit only a diagnosis with no explanation of testing impact. FINRA needs supporting information showing how the disability affects the ability to complete the exam and why the requested change addresses that limitation.

Do not assume a prior school accommodation will be copied exactly. FINRA reviews requests individually for this exam and its purpose. Prior records help establish context but do not bind FINRA to the same adjustment.

Do not assume every temporary medical issue qualifies under the disability process. FINRA says temporary conditions generally do not meet the ADA standard, while inviting candidates to contact it about case-specific arrangements.

Do not assume remote testing is generally available for the Series 65. The current FINRA and NASAA pages describe narrow circumstances and proof requirements. Verify eligibility before planning to take the exam online.

How to answer Series 65 questions

FINRA administers the Series 65 and handles accommodation review. A candidate opens the exam window, submits the current form and supporting documentation, receives FINRA's written decision, then schedules the approved appointment with Prometric.

Possible modifications include extra time, a reader or recorder, large print or zoom, a private room and accessible workstation arrangements. FINRA considers the documented functional need and makes the final decision. Some options are limited to test-center delivery.

FINRA's typical first-review response is about 10 business days, and incomplete documentation can delay it. Previously approved arrangements are generally reapplied within five business days of a later exam enrollment unless the candidate requests a change.

Sources

FINRA, Exam Candidates Requiring Testing Accommodations and current request form; NASAA General Exam Information and Exam FAQs; Prometric FINRA exam scheduling page. Procedures and delivery rules can change; use the current official instructions.