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Qualification Exam Frequently Asked Questions (FAQ)
Following are FAQs about FINRA registration and qualification requirements. Click on the links below to view all sections of the FAQs.
Notice To Members 93-87
SUGGESTED ROUTING Senior ManagementAdvertisingLegal & ComplianceMutual FundRegistrationTraining Executive Summary The NASD is publishing this Notice to remind members, particularly members affiliated with banks or participating in bank networking arrangements, of their obligations under the Rules of Fair Practice to disclose to customers the varying risks of investing the
Rule 4530 Frequently Asked Questions
Frequently asked questions and answers
Interpretive Letter to Name Not Public
<p>Applicability of the reporting requirement under Rule 3070(a)(8) to a non-securities related automobile insurance settlement exceeding $15,000.</p>
Regulatory Notice 12-11
SEC Approves New FINRA Rule 4524 Requiring the Filing of Supplemental FOCUS Information and a Supplementary Schedule to the Statement of Income (Loss) Page of the FOCUS Report
Election Notice - 3/29/10
FINRA Announces Election Results for District Committees, District Nominating Committees
FINRA Qualification and Registration Requirements Frequently Asked Questions (FAQ)
The FINRA qualification and registration requirements are set forth in FINRA Rules 1210 through 1240.1 These rules, among other things: (1) require the registration of individuals as representatives or principals; (2) allow for the permissive registration of associated persons of firms; (3) establish a waiver program for individuals working for a financial services industry affiliate of a member
Election Notice – 7/21/17
Notice of Annual Meeting of FINRA Firms and Proxy
Notice to Members 05-70
GUIDANCE Qualification Examinations Implementation Date: November 30, 2005 SUGGESTED ROUTING KEY TOPICS Legal &amp; Compliance Operations Registration Training Limited Principal—General Securities Sales Supervisor (Series 9/10) Limited Principal—Registered Options (Series 4) Limited Representative—Investment Company and Variable Contracts Products (Series 6) Rule 1022(f) Rule 1022(g
Notice to Members 00-21
INFORMATIONAL Mutual Fund Performance SUGGESTED ROUTING KEY TOPICS Advertising/Investment Companies Internal Audit Legal &amp; Compliance Mutual Fund Registered Representatives Senior Management Variable Contracts Advertising Mutual Fund Performance Executive Summary Recent unusually strong equity market performance helped some mutual funds, particularly those