Regulatory Notice 17-30

SEC Approves Consolidated FINRA Registration Rules, Restructured Representative-Level Qualification Examinations and Changes to Continuing Education Requirements

Effective Date: October 1, 2018

Summary

The Securities and Exchange Commission (SEC) approved a proposed rule change to: (1) adopt consolidated FINRA registration rules; (2) restructure the representative-level qualification examinations by creating a general knowledge examination called the Securities Industry Essentials (SIE) and transforming the representative-level examinations into specialized knowledge examinations; and (3) amend the Continuing Education (CE) requirements.

These changes become effective October 1, 2018.

The text of the new and amended rules is available at www.finra.org/notices/17-30.

Questions regarding this Notice should be directed to:

  • Afshin Atabaki, Associate General Counsel, Office of General Counsel, at (202) 728-8902;
  • Joe McDonald, Senior Director, Testing and Continuing Education Department, at (240) 386-5065; or
  • Alexandra Toton, Associate Director, Testing and Continuing Education Department, at (240) 386-4677.

Related Documents: 

DateTitleFormat - Size
10/4/2017New and Amended Rule TextPDF - 162.21 KB