Proposed Rule Change to Revise the Series 7 Examination Program
Financial Industry Regulatory Authority, Inc. (“FINRA”) (f/k/a National Association of Securities Dealers, Inc. (“NASD”)) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) revisions to the content outline and selection specifications for the General Securities Representative (Series 7) examination program. The proposed revisions update the material to reflect changes to the laws, rules and regulations covered by the examination and to better reflect the functions and associated tasks performed by a General Securities Representative and the relationships between the different components of the outline. FINRA is not proposing any textual changes to the By-Laws, Schedules to the By-Laws, or Rules of FINRA.
|Text of Proposed Rule Change||(PDF 6,973 KB)|
|Notice of Filing and Immediate Effectiveness||(PDF 159 KB)|
|Notice of Filing and Immediate Effectiveness (Correction)||(PDF 139 KB)|