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:
- Consolidate FINRA’s registration rules;
- Make a number of technical changes to permissible registration categories; and
- 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.
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