Regulatory Notice 11-45
FINRA Revises the Series 7, 17, 37 and 38 Examination Programs
Implementation Date: November 7, 2011
FINRA periodically reviews the content of qualification examinations to determine whether revisions are necessary or appropriate in view of changes—including laws, rules and regulations—pertaining to the subject matter covered by the examinations. Based on these reviews, FINRA has revised the following examination programs:
The changes are reflected in the content outlines on FINRA’s website and will appear in examinations starting on November 7, 2011.
Questions regarding this Notice should be directed to:
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