Regulatory Notice 13-28

FINRA Revises the Series 16 Examination Program

Implementation Date: October 28, 2013

FINRA periodically reviews the content of qualification examinations to determine whether revisions are necessary or appropriate in view of changes—including changes to the laws, rules and regulations—pertaining to the subject matter covered by the examinations. Based on this review process, FINRA has revised the Supervisory Analyst (Series 16) examination program.

The changes are reflected in the Series 16 content outline on FINRA’s website, and will appear in Series 16 examinations administered on or after October 28, 2013.