SR-FINRA-2018-005

Proposed Rule Change to Revise the Research Analyst (Series 86 and 87) Examinations

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) revisions to the content outline and selection specifications for the Research Analyst (Series 86 and 87) examinations as part of the restructuring of the representative-level examination program. The proposed revisions also update the material to reflect changes to the laws, rules and regulations covered by the examinations and to incorporate the functions and associated tasks currently performed by a Research Analyst. In addition, FINRA is proposing to make changes to the format of the content 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 the Proposed Rule ChangePDF - 853.11 KB
Notice of Filing and Immediate EffectivenessPDF - 229 KB