United States:
SEC Approves Consolidated FINRA Registration Rules
01 November 2018
Duff and Phelps
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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.
The content of this article is intended to provide a general
guide to the subject matter. Specialist advice should be sought
about your specific circumstances.
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