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
(a) Except as otherwise provided in this Rule, each member shall once every calendar year provide in writing (which may be electronic) to each customer the following items of information:
(1) FINRA BrokerCheck Hotline Number;
(2) FINRA Web site address; and
(3) A statement as to the availability to the customer of an investor brochure that includes information
(a) Service on Each Party
Except as provided below, a complaint shall be served on each Party by the Department of Enforcement. When counsel for a Party or other person authorized to represent others under Rule 9141 agrees to accept service of the complaint, then the Department of Enforcement may serve the complaint on counsel for a Party or other person authorized to represent others
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
(a) Content, Scope and Form Requirements
When a decision issued under Rule 9268 or Rule 9269 or an order of acceptance issued under Rule 9270 imposes a permanent cease and desist order, it shall:
(1) order a Respondent (and any successor of a Respondent, where the Respondent is a member firm) to cease and desist permanently from violating a specific rule or statutory provision;
(2
