Exam Closure Request Form

Candidate's Name:

Candidate's Email Address:

Candidate's CRD/TESS Number:

Firm Name (if applicable):

Firm Contact Email (if applicable):

Was this exam window opened by a firm or individually by the candidate? Was this exam window opened by a firm or individually by the candidate? Firm Individually by the candidate

Exam Taken: Exam Taken: Series 63 Series 65 Series 66

Description of why a window closure is being requested:

9 + 2 =

Exam refund requests must be submitted in a timely manner and are determined on a case-by-case basis.

Generally, reimbursement of exam fees may be approved ONLY under the following circumstances: In case of a system error or If IARD or CRD opens a window for an exam, AND a state subsequently grants a waiver, AND the exam is no longer needed.