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Proposed Rule Change to Amend FINRA Rule 1240.01

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 to reopen the period by which certain participants in the Maintaining Qualifications Program will be able to complete their prescribed 2022 and 2023 continuing education content.

Title Format - Size Status
Text of the Proposed Rule Change PDF - 1.86 MB
Notice of Filing and Immediate Effectiveness PDF - 211.72 KB