Proposed Rule Change to Adopt Consolidated FINRA Registration Rules, Restructure the Representative-Level Qualification Examination Program and Amend the Continuing Education Requirements
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt with amendments the NASD and Incorporated NYSE rules relating to qualification and registration requirements as FINRA rules in the Consolidated FINRA Rulebook. The proposed rule change also restructures the current representative-level qualification examinations and creates a general knowledge examination and specialized knowledge examinations. In addition, the proposed rule change amends the Continuing Education (“CE”) requirements.
|Title||Format - Size||Status|
|Text of the Proposed Rule Change||PDF - 12.23 MB|
|Federal Register Notice||PDF - 327.44 KB|
|Extension No. 1||PDF - 63.43 KB|
|Response to Comments||PDF - 310.87 KB|
|Approval Order||PDF - 260.67 KB|