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Firm compliance professionals can access filings and requests, run reports and submit support tickets.
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Rule Filing Status: Filed for Immediate Effectiveness
Rule change to amend FINRA Rule 1240.01 to provide eligible individuals another opportunity to elect to participate in the Maintaining Qualifications Program.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 1240.01 (Eligibility of Other Persons to Participate in the Continuing Education Program Specified in Paragraph (c) of this Rule) to provide eligible individuals another opportunity to elect to participate in the Maintaining Qualifications Program (“MQP”).
FINRA has amended Rule 1240.01 (Eligibility of Other Persons to Participate in the Continuing Education Program Specified in Paragraph (c) of the Rule) to provide eligible individuals another opportunity to participate in the Maintaining Qualifications Program (MQP). This new enrollment period begins March 15, 2023, and will end on December 31, 2023.
Questions concerning this Information Notice should be directed to:
