Regulatory Notice 11-45

FINRA Revises the Series 7, 17, 37 and 38 Examination Programs

Implementation Date: November 7, 2011

Executive Summary

FINRA periodically reviews the content of qualification examinations to determine whether revisions are necessary or appropriate in view of changes—including laws, rules and regulations—pertaining to the subject matter covered by the examinations. Based on these reviews, FINRA has revised the following examination programs:

• General Securities Representative (Series 7);
• United Kingdom Securities Representative (Series 17);
• Canada Securities Representative (Series 37); and
• Canada Securities Representative (Series 38).

The changes are reflected in the content outlines on FINRA’s website and will appear in examinations starting on November 7, 2011.

 

Questions regarding this Notice should be directed to:

• Joe McDonald, Senior Director, Testing and Continuing Education Department, at (240) 386-5065; or
• Patricia Monterosso, Lead Qualifications Analyst, Testing and Continuing Education Department, at (646) 315-8753.