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.

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