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Proposed Rule Change Relating to National Adjudicatory Council Composition, Member Terms and Election Procedures
Proposed Rule Change Relating to Broadening Chairperson Eligibility in Arbitration
Proposed Rule Change to Implement a New Electronic Form 211
Proposed Rule Change Relating to Motions to Dismiss in Arbitration
The Series 27 exam — the Financial and Operations Principal Qualification Exam (FN) — assesses the competency of an entry-level principal to perform their job as a financial and operations principal.
The Series 28 exam — the Introducing Broker-Dealer Financial and Operations Principal Qualification Exam (FI) — assesses the competency of an entry-level principal to perform their job as a financial and operations principal in an introducing broker-dealer that does not carry customer accounts or hold customer funds or securities.
OTCE Historical Data Download Files
Proposed Rule Change Relating to the Panel Selection Process in Customer Cases with Three Arbitrators.
