Proposed Rule Change to Revise the Private Securities Offerings Representative (Series 82) Examination
Proposed Rule Change to Revise the Securities Trader (Series 57) Examination
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) revisions to the content outline and selection specifications for the Investment Company and Variable Contracts Products Representative (Series 6) examination as part of the restructuring of the representative-level examination program. The proposed revisions also
Proposed Rule Change to Revise the Direct Participation Programs Representative (Series 22) Examination
Proposed Rule Change to Revise the General Securities Representative (Series 7) Examination
Good morning. It’s great to have this opportunity to be with you today.
My colleague in Member Regulation, Sales Practice, Mike Rufino, will be talking about FINRA’s regulatory and examination priorities during the next session, so I won’t steal Mike’s thunder and tell you everything that he is going to say. Rather, I want to take a step back and take this opportunity to talk about something
Proposed Rule Change to Revise the Operations Professional (Series 99) Examination
Proposed Rule Change to Revise the Research Analyst (Series 86 and 87) Examinations
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) revisions to the content outline and selection specifications for the Investment Banking Representative (Series 79) examination as part of the restructuring of the representative-level examination program. The proposed revisions also update the material to reflect
Pursuant to a Securities and Exchange Commission request, FINRA has agreed to make reported short sale trade data publicly available.
