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


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

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