*Letters

Registration of Operations & Support Personnel

Published on:
July 30, 2010
Issue:
Committee:

SIFMA provides comments to Financial Industry Regulatory Authority (FINRA) on a proposal for the registration of operations and support personnel, FINRA Regulatory Notice 10-25. The proposal would create a new registration category and qualification examination, and related continuing education requirements, for certain operations and other support personnel.  The proposal would also expand FINRA’s registration requirements to include as qualified and registered persons certain individuals who supervise, and in some cases directly engage in, activities related to sales and trading support and the handling of customer assets. SIFMA believes that the provisions relating to “depth of personnel” and “covered functions” should be revised to clarify the new registration requirements and address in a more targeted manner FINRA’s ultimate regulatory objectives.

Details

Download

More Content

  • Amicus Briefs
    Oct 05, 2026

    In re The Boeing Company Securities Litigation

  • Letters
    Oct 05, 2026

    Reducing Duplicative Regulation and Expanding Exemptions for Commodity Pool Operators and Commodity Trading Advisors

    SIFMA AMG comments on CFTC proposals to reduce duplicative regulation for certain CPOs and CTAs and account for inflation.
  • Letters
    Sep 30, 2026

    Proposed Rule Change to Amend FINRA Rules 0150, 2165, 4512 and to Adopt FINRA Rule 2166

    SIFMA Comments to SEC in support of the proposed rule changes to improve the utilization of Rules 2165 and 4512, as well as the new Rule 2166 to allow for a temporary delay for suspected fraud.

Get the latest trends, stats, and research on financial markets and securities.