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Proposed Rule Change to Amend FINRA Rules 1210 (Registration Requirements) and 1240 (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 amend FINRA Rule 1240 (Continuing Education Requirements).  The proposed rule change also makes conforming amendments to FINRA Rule 1210 (Registration Requirements).  Among other changes, the proposed rule change requires that the Regulatory Element of continuing education be completed annually rather than every three years and provides a path through continuing education for individuals to maintain their qualification following the termination of a registration.

Title Format - Size Status
Text of the Proposed Rule Change PDF - 14.14 MB
Federal Register Notice PDF - 976.27 KB
Extension No. 1 PDF - 260.9 KB
Response to Comments PDF - 203.84 KB
Approval Order PDF - 569.66 KB