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Proposed Rule Change to Revise the Securities Trader (Series 57) Examination

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) revisions to the content outline and selection specifications for the Securities Trader (Series 57) examination as part of the restructuring of the representative-level examination program. In addition, FINRA is proposing to make changes to the format of the content outline. FINRA is not proposing any textual changes to the By-Laws, Schedules to the By-Laws or Rules of FINRA.

Title Format - Size Status
Text of the Proposed Rule Change PDF - 877.25 KB
Notice of Filing and Immediate Effectiveness PDF - 234.34 KB