Tag Archives: SIE

FINRA Requests Comment on Enhancements Under Consideration by the Securities Industry/Regulatory Council on Continuing Education

continuing education, FINRA, Firm Element, SIE

FINRA requests comment from member firms and other interested parties on enhancements to the Securities Industry Continuing Education Program (CE Program) under consideration by the Securities Industry/Regulatory Council on Continuing … Continue reading FINRA Requests Comment on Enhancements Under Consideration by the Securities Industry/Regulatory Council on Continuing Education →

FINRA Restructures Qualification Examination Program

September 14, 2018Legal AlertsFINRA, Qualification Exams, SIEMichael Schaps

The Financial Industry Regulatory Authority’s (‘FINRA”) restructured qualification examination program will become effective on October 1, 2018, and it will then require that all new representative-level applicants be required to take a … Continue reading FINRA Restructures Qualification Examination Program →