*Letters

FINRA Proposal to Establish Securities Trader and Securities Trader Principal Registration Categories

Published on:
July 10, 2015

SIFMA provides comments to the Securities and Exchange Commission (SEC) on FINRA’s proposed amendments to NASD Rule 1032(f) to replace the Equity Trader registration category and qualification examination (Series 55) with a Securities Trader registration category and qualification examination (Series 57) and NASD Rule 1022(a) to establish a Securities Trader Principal registration category.

See also:

SR-FINRA-2015-017

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