How To Pass 268 Principal Exam

[Martha Vanschaick]

BeginningJune 9, 2023, candidates will need an approved accommodation to schedule an online appointment for an NFA or FINRA exam (other than the SIE). Online appointments scheduled to be taken after Sept. 9, 2023, will be canceled if the candidate does not have an approved accommodation.

The exam measures the degree to which each candidate possesses the knowledge needed to perform the critical functions of a principal, including the rules and statutory provisions applicable to the supervisory management of a general securities broker-dealer.

In addition to the Series 24 exam, candidates must pass the Securities Industry Essentials (SIE) Exam and a representative-level qualification exam, or the Supervisory Analysts Exam (Series 16) exam, to hold an appropriate principal registration. Based on their corequisite qualification(s), candidates will receive the following principal registration(s) upon passing the Series 24 exam:

The Series 24 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the five major job functions of a general securities principal. The table below lists the allocation of exam items for each major job function.

Candidates must be associated with and sponsored by a FINRA member firm or other applicable self-regulatory organization (SRO) member firm to be eligible to take FINRA principal-level qualification exams. For more information on registration requirements, refer to FINRA Rule 1210.

The General Securities Sales Supervisor Exams (Series 9 and 10) are limited principal exams. They qualify an individual to supervise sales activities of a broker-dealer. They satisfy the testing requirements of the NYSE, Cboe, the MSRB, FINRA and Nasdaq. The Series 9 and 10 qualify the branch manager to supervise sales activities in corporate securities (equity and debt), investment company products and variable contracts, municipal securities, options, government securities and direct participation programs (DPPs). The General Securities Sales Supervisor Exams do not allow the sales supervisor/branch manager to supervise other areas of a member's securities business, such as underwriting, trading, advertising or overall firm compliance with financial responsibilities.

The Series 24, on the other hand, qualifies a candidate as a general securities principal for FINRA only. By passing the Series 24, the candidate can supervise all areas of the member's investment banking and securities business, such as underwriting, trading and market making, advertising, or overall compliance with financial responsibilities. While the scope of the general securities principal's supervisory authority is broader than the Series 9 and 10, the Series 24 is limited in the products that it covers. The general securities principal qualification does not cover municipal securities or options.

If you hold a valid Texas classroom teaching certificate and a bachelor's degree you may add classroom certification areas by completing the appropriate examination. You must register for the test through the appropriate testing company. Once you have passed the test you must log in to your account, verify your scores and apply for the certificate.

Please Note: This information serves for the TExES Exam and Certification Requirements. Students are responsible for all information listed in this email, please be sure to read it carefully and retain a copy for your records.

Congratulations for reaching this point in your program. If you are in Texas, there are two TExES exams required for certification for Principal as Instructional Leader (PIL): TExES 268 and TExES PASL 368. Learn more about the PIL.

Note. Out-of-State Students are not eligible for testing or certification in Texas, please be sure to check your state requirements for Principal Certification in your state. This document does not relate to you. However, please sign it to acknowledge that you understand that you cannot take the TExES for certification in your state.

Please complete all applications with Lamar University (LU) to be approved with TEA to take these exams and to be approved for certification. When you are ready to test, use the checklists below to ensure that all your applications are completed correctly and in the correct order.

You will be notified by Pearson for Principal 268 and ETS for PASL 368 of your testing results. If you pass both exams, please continue by using the Checklist to Be Certified below. If you need to retest, please see the information below the checklist.

After passing your TExES exams, you will need to complete another application with Lamar University to be recommended for the Certification as Principal 268. Do not apply for certification with TEA until after you have completed the LU application to request approval for Certification. Use the below Checklist.

TEA will email you at the email address you provided with TEA that you have been recommended by LU. Check your email within 6 weeks after you have submitted your certification application to Lamar and TEA for your recommendation for certification. Please contact LU certification office if you have questions or concerns.

Lamar University and Texas Education Agency (TEA) are subject to make changes at any time pertaining to testing and certification deadlines, TExES exams and Lamar and TEA policies. Please make sure and check Lamar University websites and TEA websites for any changes and updates. All updated information can be found on the LU Certification Office website.

To retake one or both of the exams, please complete the application in Step 1 to retake exam. Texas Education Code 21.048 limits candidates to four attempts to retake any educator certification examination. This means that candidates are limited to a total of five attempts to pass a certification examination. For more information, please see the Educator Certification Examination Retake Limit FAQs.

Test takers are limited to 5 attempts on any certification examination under Texas Education Code 21.048(a-1). The State Board for Educator Certification has defined the waiver application process in Chapter 230, Subchapter C of the Texas Administrative Code and authorized TEA staff to administer the waiver process. Application information is provided on the Test-Limit Waiver Information webpage.

Individuals seeking classroom teacher certification shall be required to demonstrate basic skills knowledge, subject content knowledge and professional pedagogy knowledge in addition to applicable program preparation or demonstrated teacher effectiveness.

Individuals with an active standard or professional teaching credential/license in another state and were required to pass comparable basic skills, subject content and pedagogy exams in the other state to earn the credential, may present those scores to OSSE for a compatibility determination. To be considered, individuals must present complete scanned PDF copies of their official examinee score report(s) when filing an official application with the Office of the State Superintendent of Education (OSSE) for the DC credential. OSSE does not conduct ad-hoc compatibility determinations of out-of-state exams without an application.

Additionally, in instances where a basic skills exam, subject content exam, or pedagogy exam was not required for certification in the other state, the individual must take and pass the missing exam component prior to earning a full DC credential in the corresponding subject area.

Individuals seeking to add additional teaching endorsement certification area(s) to their standard-level primary standalone teaching credential held in another subject area, must submit passing scores for the subject content exam and pedagogy exam required for the area of the added endorsement. Please note, added endorsement certification is only available to teacher certification areas and is not applicable to student/pupil service provider certification nor school principal certification.

Individuals seeking school services provider certification as a school counselor, school librarian, reading specialist and school psychologist must submit passing scores for the corresponding school support personnel content exam.

Use code 7076 to select the DC Office of the State Superintendent of Education (OSSE) as a test score recipient. Please be advised that even when selecting OSSE as a score recipient, individuals must upload complete scanned PDF copies of the official examinee score reports to their online application to avoid processing delays or potential application rejection due to being incomplete.

The AEPA Principal exam is made of two subtests, which you can take individually in two different sessions or all at once in one session. The the total combined time limit is 7 hours, and the total number of questions is 104.

To register for the exam, you must create an online NES account via their website. Once your account has been created, you can use it to register for the AEPA Principal exam and schedule an exam date. When you register, you will need to pay the $140 fee for each subtest (or $280 for both subtests taken together).

On the day of your test appointment, you should arrive at the testing center 15-30 minutes early to allow time for the check-in process. When you arrive, you will be asked to sign in and provide at least one form of valid photo ID.

Your AEPA Principal test results are reported as scaled scores based on your total raw score points from both the multiple-choice section and the constructed-response section. Your raw scores are converted to a scale of 100 to 300, with the scaled score of 240 being the minimum passing score on each subtest. Both subtests must be passed in order to pass the full exam.

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