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Deadline for Qualifiying for Day One Operations Principal

October 17, 2012

FINRA reminds member firms that any person identified by a member firm as a Day-One Operations Professional who must pass the Series 99 or other appropriate qualification examination to qualify as an Operations Professional must do so on or before October 17, 2012. In scheduling the exam, candidates are reminded that the waiting periods between exam attempts set forth in NASD Rule 1070(e) apply to all FINRA qualification examinations including the Series 99 examination. For additional information, please refer to the Qualifications page on the FINRA website.


October 17, 2012
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