Test Enrollment Services System (TESS) Archives

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.