Is a firm eligible to receive a refund for the Series 65 Exam if it selected RA positions PRIOR to transitioning the individual onto the system?
Yes. A firm may receive a refund if it filed a Form U4 Amendment before it had transitioned the individual’s current registration information onto CRD. The firm must contact the state directly and ask the state to contact FINRA to authorize the refund of the exam fee. FINRA cannot refund the exam fee without the state’s authorization.
Related Questions
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