Proposed Rule Change to FINRA Consolidated Registration Rule
Published on:
May 1, 2017
Submitted to:
Securities and Exchange Commission (SEC)
Submitted by:
SIFMA
SIFMA provided comments to the Securities and Exchange Commission (SEC) on SR-FINRA-2017-007, which proposes amendments to FINRA’s registration rules, examination program, and continuing education requirements. The Proposal presents significant improvements to FINRA’s registration and examination rules that will inure to the benefit of the investing public, FINRA, and its member firms. SIFMA commends FINRA for undertaking a review of its registration and examination rules.
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