Laura Anthony

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    • Member Type(s): Expert
    • Title:Founding Partner
    • Organization:Legal & Compliance, LLC
    • Area of Expertise:Securities Law
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FINRA Proposes New Registration And Examination Rules
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Uploaded By: Laura Anthony, Esq.
Date Added: June 14, 2017
Description: FINRA Proposes New Registration And Examination Rules- Today is the first in a Lawcast series discussing FINRA’s proposed changes to its examination process and the implementation of a new Securities Industry Essentials Exam. On March 8, 2017, the Financial Industry Regulatory Authority, known as FINRA, filed a proposed rule change with the SEC to adopt amended registration rules and restructure the entry-level qualification examination for registered representatives. The new rules would also eliminate certain examination categories. FINRA is planning to implement the changes in two phases, with full implementation completed during the first half of 2017...
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