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Comment Period Ends: Proposed Rule Change to Establish the Securities Trader and Securities Trader Principal Registration Categories

August 4, 2015

The SEC requested comments on a proposal to amend NASD Rule 1032(f) (Limited Representative-Equity Trader) to replace the Equity Trader registration category and qualification examination (Series 55) with a Securities Trader registration category and qualification examination (Series 57). In addition, the proposal amends NASD Rule 1022(a) (General Securities Principal) to establish a Securities Trader Principal registration category. The proposal also makes technical conforming changes to the Form U4 (Uniform Application for Securities Industry Registration or Transfer).   See the Federal Register notice.

The comment period expires August 4, 2015.

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August 4, 2015
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SEC
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