SEC Approves Consolidated FINRA Registration Rules

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Through FINRA Regulatory Notice 17-30, the Securities and Exchange Commission (SEC) approved certain rule changes. These changes will:

United States Corporate/Commercial Law

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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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Chris Lombardy

Kathleen Malone

Peter Wilson

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SEC Approves Consolidated FINRA Registration Rules

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Corporate/Commercial Law

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United States