Proposed Rule Change to Amend Section 4(c) of Schedule A to the FINRA By-Laws to Increase Qualification Examination Fees and Assess a Service Charge for Regulatory Element Continuing Education Sessions Taken Outside the United States
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend Section 4(c) of Schedule A to the FINRA By-Laws to (1) increase qualification examination fees, and (2) assess a service charge for any Regulatory Element Continuing Education (“Regulatory Element”) session taken in a test center located outside the territorial limits of the United States.
Title | Format - Size | Status |
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Text of Proposed Rule Change | PDF - 83.2 KB | |
Notice of Filing and Immediate Effectiveness | PDF - 151.16 KB |