Letters

Proposed Rule Change to FINRA Consolidated Registration Rule

Summary

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.

See also:
SR-FINRA-2017-007

PDF

Submitted To

Securities and Exchange Commission (SEC)

Submitted By

SIFMA

Committee

Compliance and Regulatory Policy Committee

Date

1

May

2017