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FINRA Issues Regulatory Notice 17-30

Oct 10, 2017 Alerts

The Securities and Exchange Commission (SEC) approved a proposed rule change to: (1) adopt consolidated FINRA registration rules; (2) restructure the representative-level qualification examinations by creating a general knowledge examination called the Securities Industry Essentials (SIE) and transforming the representative-level examinations into specialized knowledge examinations; and (3) amend the Continuing Education (CE) requirements.

These changes become effective October 1, 2018.

To view the new and amended rules, click here.

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