Regulatory Notice 11-33
SEC Approves Operations Professional Registration Category and Consolidated FINRA Continuing Education Rule
The SEC approved FINRA’s proposal to establish a registration category and qualification examination requirement for certain operations personnel. The proposal also adopts continuing education requirements for such operations personnel and adopts NASD Rule 1120 (Continuing Education Requirements) as FINRA Rule 1250 (Continuing Education Requirements) in the consolidated FINRA rulebook with certain changes.
Questions regarding this Notice should be directed to:
- Joe McDonald, Senior Director, Testing and Continuing Education Department, at (240) 386-5065; or
- Erika L. Lazar, Counsel, Office of General Counsel, at (202) 728-8013.
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|Attachment to Regulatory Notice 11-33||PDF - 35.84 KB|