Regulatory Notice 07-62

Revisions to the Series 23, 24, 42, 55, 62, 72 and 82 Examination Programs; Implementation Date: February 12, 2008

Executive Summary

FINRA has revised the following examination programs:

  • General Securities Principal Sales Supervisor Module (Series 23);
  • General Securities Principal (Series 24);
  • Limited Representative – Options (Series 42);
  • Limited Representative – Equity Trader (Series 55);
  • Limited Representative – Corporate Securities (Series 62);
  • Limited Representative – Government Securities (Series 72); and
  • Limited Representative – Private Securities Offerings (Series 82).1

The changes are reflected in the study outlines on FINRA’s Web site at www.finra.org/brokerqualifications/exams. The changes will appear in examinations starting on February 12, 2008.

1 See File Nos. SR-FINRA-2007-027 (Proposed Rule Change Relating to Revisions to the Series 23 Examination Program); SR-FINRA-2007-028 (Proposed Rule Change Relating to Revisions to the Series 24 Examination Program); SR-FINRA-2007-029 (Proposed Rule Change Relating to Revisions to the Series 42 Examination Program); SR-FINRA-2007-030 (Proposed Rule Change Relating to Revisions to the Series 55 Examination Program); SR-FINRA-2007-031 (Proposed Rule Change Relating to Revisions to the Series 62 Examination Program); SR-FINRA-2007-032 (Proposed Rule Change Relating to Revisions to the Series 72 Examination Program); and SR-FINRA-2007-033 (Proposed Rule Change Relating to Revisions to the Series 82 Examination Program). These rule filings were filed with the SEC for immediate effectiveness on December 12, 2007.