Regulatory Notice 08-02
Acceptability of Series 24 Examination under NYSE Rule 342.13
FINRA amended NYSE Rule 342.13 to eliminate the requirement that the General Securities Principal Examination (Series 24) be passed after July 1, 2001, in order to be recognized as an acceptable alternative to the General Securities Sales Supervisor Qualification Examination (Series 9/10) for persons whose duties do not include supervision of options or municipal securities sales activities.1
The text of the amendment is set forth in Attachment A and became effective on November 28, 2007.
Questions regarding this Notice should be directed to Erika Lazar, Senior Attorney, Office of General Counsel, at (212) 656-4591; or Michael J. Troha, Senior Staff Attorney, Sales Practice Policy, Member Regulation, at (212) 656-5639.
1 Exchange Act Release No. 56936 (December 10, 2007); 72 FR 71467 (December 17, 2007) (File No. SR-FINRA-2007-22).
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