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Investment Advisor Representative Registration

Form U10 and TESS (Test Enrollment Services System)

Posted on July 19, 2018September 18, 2019 by SCM Communications

Since our last post about Form U10, FINRA has implemented the Test Enrollment Services System (TESS). Beginning in June 2017, FINRA began transitioning all non-U4 examination enrollments to TESS and ended the utilization of the Form U10.

What Is Form U10 And Why Do I Need It?

Posted on September 21, 2016September 18, 2019 by SCM Communications

Note: With the implementation of the Test Enrollment Services System (TESS), FINRA has stopped using Form U10. We are leaving this post up as to not disturb any saved links; however, please visit our more recent post, (Form U10 and TESS (Test Enrollment Services System), for current information on the topic.