BROKER-DEALER -
Amended FINRA Registration Rules To Take Effect October 1 -
Amended Financial Industry Regulatory Authority registration, qualification and continuing education rules will become effective on October 1. The amended rules, which the Securities and Exchange Commission approved on October 13, 2017, will consolidate and replace the National Association of Securities Dealers, Incorporated New York Stock Exchange and existing FINRA registration rules.
Please see full publication below for more information.
