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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:
WASHINGTON—FINRA’s Board of Governors met on March 9-10 for the first time in 2023. The board approved a rule proposal to amend FINRA rules to conform to the SEC’s rule changes to shorten the securities settlement cycle and discussed a variety of regulatory topics and technology initiatives.
FINRA is issuing this Notice to provide guidance for members affected by the recent failures of Silicon Valley Bank (SVB) and Signature Bank (Signature).
Questions concerning this Notice should be directed to your firm’s Risk Monitoring Analyst.
The following is guidance for member firms affected by the recent failures of SVB and Signature.
For Members with Deposits at SVB and Signature:
