Notices

Regulatory Notice 23-05
FINRA Revises the Research Analyst (Series 86/87) Exam Program
Monday, March 20, 2023
Regulatory Notice 20-42
FINRA Seeks Comment on Lessons From the COVID-19 Pandemic
Wednesday, December 16, 2020
Regulatory Notice 20-33
FINRA Requests Comment on a Proposed New Expedited Proceeding Rule for Failures to Comply With the FINRA Qualification Examinations Rules of Conduct and Proposed Amendments to the Registration Requirements Rule and the Eligibility Proceedings Rules
Tuesday, September 22, 2020
Regulatory Notice 18-27
Restructured Qualification Examinations and Related Examination Fees
Thursday, September 06, 2018
Regulatory Notice 17-30
SEC Approves Consolidated FINRA Registration Rules, Restructured Representative-Level Qualification Examinations and Changes to Continuing Education Requirements
Thursday, October 05, 2017
Regulatory Notice 16-02
FINRA Revises the Series 9/10 Examination Program
Monday, January 11, 2016
Regulatory Notice 15-45
FINRA Announces Approval of and Implementation Date for Securities Trader and Securities Trader Principal Registration Categories and Related Qualification Examination, Fee and Continuing Education Requirements
Wednesday, November 18, 2015
Information Notice – 11/4/15
CE Online and S101 Personalization
Wednesday, November 04, 2015
Regulatory Notice 15-39
FINRA Revises the Series 27 and Series 28 Examination Programs
Friday, October 23, 2015
Regulatory Notice 15-29
FINRA Revises the Series 4 Examination Program
Monday, August 10, 2015
Regulatory Notice 15-20
FINRA Requests Comment on a Concept Proposal to Restructure the Representative-Level Qualification Examination Program
Wednesday, May 27, 2015
Regulatory Notice 15-20
FINRA Requests Comment on a Concept Proposal to Restructure the Representative-Level Qualification Examination Program
Wednesday, May 27, 2015
Regulatory Notice 15-08
Changes to Qualification Examination Fees
Wednesday, March 25, 2015
Regulatory Notice 15-06
FINRA Requests Comment on a Proposal to Require Registration of Associated Persons Involved in the Design, Development or Significant Modification of Algorithmic Trading Strategies
Thursday, March 19, 2015
Information Notice 7/10/14
Revised Process for Candidates Whose Primary Language Is Not English to Receive Additional Time to Complete a Qualification Examination or Continuing Education Session
Thursday, July 10, 2014
Information Notice - 6/5/13
FINRA Surveys to Update the Series 4, 9 and 10 Qualification Examinations
Wednesday, June 05, 2013
Regulatory Notice 13-22
FINRA Revises the Series 55 Examination Program
Friday, June 28, 2013
Information Notice - 8/1/12
New Criteria and Process for Candidates Whose Primary Language Is Not English to Receive Additional Time to Complete a Qualification Examination or Continuing Education Session
Wednesday, August 01, 2012
Information Notice - 6/28/11
FINRA Surveys to Update the Series 6, 16, 24 and 26 Exams
Tuesday, June 28, 2011
Regulatory Notice 11-33
SEC Approves Operations Professional Registration Category and Consolidated FINRA Continuing Education Rule
Friday, July 22, 2011
Regulatory Notice 11-36
Changes to Fees for Cancelling or Rescheduling a Qualification Examination or Regulatory Element Continuing Education Session
Wednesday, August 03, 2011
Regulatory Notice 11-42
Operations Professional Qualification Examination, Examination Fee and Initial Rollout Period
Friday, September 16, 2011
Information Notice - 4/20/10
Change for Scheduling Exam and CE Sessions
Tuesday, April 20, 2010
Regulatory Notice 10-25
FINRA Requests Comment on Proposed Registration Category, Qualification Examination and Continuing Education Requirements for Operations Professionals
Wednesday, May 26, 2010
Regulatory Notice 09-41
SEC Approves Rule Change Creating New Limited Representative – Investment Banker Registration Category and Series 79 Investment Banking Exam
Tuesday, July 28, 2009