Proposed Rule Change to Establish a Registration Category, Qualification Examination and Continuing Education Requirements for Certain Operations Personnel, and Adopt FINRA Rule 1250 (Continuing Education Requirements) in the Consolidated FINRA Rulebook

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 adopt FINRA Rule 1230(b)(6) to establish a registration category and qualification examination requirement for certain operations personnel. The proposed rule change also would adopt continuing education requirements for such operations personnel and adopt NASD Rule 1120 (Continuing Education Requirements) as FINRA Rule 1250 (Continuing Education Requirements) in the consolidated FINRA rulebook with minor changes.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 384.93 KB
Federal Register NoticePDF - 240.69 KB
Extension No. 1PDF - 25.88 KB
Response to CommentsPDF - 796.02 KB
Amendment No. 1 to Proposed Rule ChangePDF - 56.33 KB
Approval OrderPDF - 226.29 KB