Transcription of Regulatory Notice 17-30
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Regulatory Notice 17-30
Regulatory Notice 17-30 . Qualification and Registration October 2017. SEC Approves Consolidated FINRA Registration Rules, Notice Type Restructured Representative-Level Qualification 00 Consolidated Rulebook Examinations and Changes to Continuing Education 00 Rule Amendment and New Rule Requirements Suggested Routing Effective Date: October 1, 2018 00 Compliance 00 Finance 00 Legal Summary 00 Operations The Securities and Exchange Commission (SEC) approved a proposed rule 00 Registered Representatives change to: (1) adopt consolidated FINRA registration rules;1 (2) restructure 00 Registration the representative-level qualification examinations by creating a general knowledge examination called the Securities Industry Essentials (SIE) 00 Senior Management and transforming the representative-level examinations into specialized 00 Training knowledge examinations; and (3) amend the Continuing Education (CE). Key Topics These changes become effective October 1, 2018.
that for which the person is registered, unless otherwise stated in the rules. In addition, FINRA Rule 1210 addresses the following: (1) requirement to have a minimum number
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