Tue, Sep 18, 2018

SEC Approves Consolidated FINRA Registration Rules

Through FINRA Regulatory Notice 17-30, the Securities and Exchange Commission (SEC) approved certain rule changes. These changes will:

  1. Consolidate FINRA’s registration rules;
  2. Make a number of technical changes to permissible registration categories; and
  3. Restructure the representative-level qualification examinations. 

These rules take effect on October 1, 2018. A copy of this Notice can be found here.

If you have any questions or require further information, please do not hesitate to contact one of our experts.

Stay Ahead with Kroll

Financial Services Compliance and Regulation

Financial Services Compliance and Regulation

End-to-end governance, advisory and monitorship solutions to detect, mitigate, drive efficiencies and remediate operational, legal, compliance and regulatory risk.

U.S. Compliance Services

U.S. Compliance Services

Comprehensive support for asset managers registering in the U.S.

Return to top