Proposed Rule Change to Revise the Series 17 Examination Program

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”) revisions to the content outline and selection specifications for the United Kingdom Securities Representative (Series 17) examination program. The proposed revisions update the material to reflect changes to the laws, rules and regulations covered by the examination and to better reflect the functions and associated tasks performed by a United Kingdom Securities Representative and the relationships between the different components of the outline.  FINRA is not proposing any textual changes to the By-Laws, Schedules to the By-Laws, or Rules of FINRA.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 5.5 MB
Notice of Filing and Immediate EffectivenessPDF - 153.82 KB