Regulatory Notice 11-33

SEC Approves Operations Professional Registration Category and Consolidated FINRA Continuing Education Rule

Effective Date: October 17, 2011
The implementation schedule for non-Day-One Professionals described in this Notice was revised by SR-FINRA-2011-060. Further information on the revised implementation schedule is available in the Operations Professional FAQ.

The SEC approved FINRA’s proposal to establish a registration category and qualification examination requirement for certain operations personnel. The proposal also adopts continuing education requirements for such operations personnel and adopts NASD Rule 1120 (Continuing Education Requirements) as FINRA Rule 1250 (Continuing Education Requirements) in the consolidated FINRA rulebook with certain changes.

The amended rule text is available at The rules become effective on October 17, 2011.

Questions regarding this Notice should be directed to:

  • Joe McDonald, Senior Director, Testing and Continuing Education Department, at (240) 386-5065; or
  • Erika L. Lazar, Counsel, Office of General Counsel, at (202) 728-8013.


Related Documents: 

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Attachment to Regulatory Notice 11-33PDF - 35.84 KB