Regulatory Notice 17-30
SEC Approves Consolidated FINRA Registration Rules, Restructured Representative-Level Qualification Examinations and Changes to Continuing Education Requirements
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:
|Date||Title||Format - Size|
|10/4/2017||New and Amended Rule Text||PDF - 162.21 KB|