Regulatory Notice 11-36

Changes to Fees for Cancelling or Rescheduling a Qualification Examination or Regulatory Element Continuing Education Session

 

Effective Date: September 1, 2011

Executive Summary

FINRA has filed for immediate effectiveness amendments to Section 4 of Schedule A to the FINRA By-Laws to establish a fee for individuals who cancel or reschedule a qualification examination or Regulatory Element Continuing Education (Regulatory Element) session three to 10 business days prior to the appointment date. The changes are effective September 1, 2011.

 

The text of the rule amendments is set forth in Attachment A.

 

Questions concerning this Notice should be directed to the Gateway Call Center at (301) 590-6500.

 

The contact for this Notice was updated on 3/20/12.