Transcription of Regulatory Notice 17-30 - finra.org
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Regulatory Notice 17-30 - finra.org
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).
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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