Regulatory Notice 08-67

FINRA Announces Electronic Filing Process For Qualification Examination Waiver Requests and Series 16 Experience Acceptability Requests

Executive Summary

Effective January 16, 2009,member firms must submit all qualification examination waiver requests and Series 16 experience acceptability requests electronically through the FINRA Firm Gateway. This new process will replace the current paper-based submission format and, for Dual Member firms, the electronic submissions via the Electronic Filing Platform(EFP).

 

To facilitate the transition, beginning December 1, 2008, member firms may begin submitting qualification examination waiver requests and Series 16 experience acceptability requests electronically via the Firm Gateway. Member firms’ Web CRD Primary Account Administrators will receive (or may apply for) entitlement privileges to give the firm’s registration and/or compliance personnel the ability to file requests for qualification examination waivers and Series 16 experience acceptability through the Firm Gateway.

 

Questions concerning this Notice should be directed to Joe McDonald, Associate Director, Testing and Continuing Education Department, at (240) 386-5065.