Proposed Amendment to FINRA's NYSE Rule 342.13 Regarding the Series 9/10 and Series 24 Examinations

FINRA (f/k/a National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend FINRA's NYSE Rule 342.13 (Acceptability of Supervisors) to eliminate the requirement that the General Securities Principal Examination ("Series 24 Examination") be passed after July 1, 2001 in order to be recognized by the New York Stock Exchange, LLC ("NYSE") as an acceptable alternative to the General Securities Sales Supervisor Qualification Examination ("Series 9/10 Examination") for persons whose duties do not include supervision of options or municipal securities sales activities. The proposed rule change is identical to a proposed rule change by the NYSE to its version of Rule 342.13.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 63.43 KB
Approval OrderPDF - 66 KB