Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Proposed Rule to Establish Fees for Funding Portals
The FINRA Board of Governors will consider the following rulemaking items at its February 2016 meeting. After the meeting, FINRA will notify firms via email about the Board’s actions on these items and anticipated next steps, if any.
Proposed Rule Change to Revise the Series 6 Examination Program
Proposed Rule Change to Amend Online Form NMA, the Standardized Membership Application Form Applicants Must File Pursuant to NASD Rule 1013 (New Member Application and Interview)
Proposed Rule Change to Revise the Series 16 Examination Program
Proposed Rule Change Relating to the New Securities Trader Qualification Examination (Series 57)
Proposed Rule Change to Amend FINRA Rule 7640A (Data Products Offered By Nasdaq)
Proposed Rule Change to Establish An Administration and Delivery Fee for the Municipal Advisor Representative Examination (“Series 50 examination”)
May 2010 Supplement to the Options Disclosure Document
