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”) 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 the deadline by which eligible registrants must complete a firm-element continuing education requirement to engage in a security futures business to December 31, 2015, or one business day prior to the date a revised examination that includes security futures products is offered.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 81.84 KB
Notice of Filing and Immediate EffectivenessPDF - 198.14 KB