Regulatory Notice 15-39

FINRA Revises the Series 27 and Series 28 Examination Programs

Implementation Date: December 14, 2015

Executive Summary

FINRA periodically reviews the content of qualification examinations to determine whether revisions are necessary or appropriate in view of changes—including changes to the laws, rules and regulations—pertaining to the subject matter the examinations cover. Based on this review process, FINRA has revised the Financial and Operations Principal (Series 27) and Introducing Broker-Dealer Financial and Operations Principal (Series 28) examination programs.

Questions concerning this Notice should be directed to:

  • Deborah Kase, Senior Qualifications Analyst, Testing and Continuing Education Department, at (212) 858-4069; or
  • Alexandra Toton, Manager, Testing and Continuing Education Department, at (240) 386-4677.