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.