Proposed Rule Change to Extend the Date by Which Eligible Registrants Must Complete a Firm-Element Continuing Education Program to Qualify to Engage in a Security Futures Business

Financial Industry Regulatory Authority, Inc. ("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 NASD Rule 1022 (Categories of Principal Registration) and NASD Rule 1032 (Categories of Representative Registration) to extend to December 31, 2012 the date by which eligible registrants must complete a firm-element continuing education program to qualify to engage in a security futures business.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 63.25 KB
Notice of Filing and Immediate EffectivenessPDF - 59.94 KB