Maintaining Qualifications Program News Today

Registered brokerage representatives historically had two years from their Form U5 filing date to re-register with another firm before their prior qualifications (examinations) would lapse.

Previously registered representatives who missed the prior deadline now have until December 31, 2023 to enroll.  Registered brokerage representatives historically had...

The access and use of any information submission functions, content, materials, or services available on the Maintaining Qualifications Program (“MQP”) is conditioned upon the acceptance by you, without modification, of these terms of use, and the terms and conditions displayed at https://www.finra.org/terms-of-use are incorporated herein by reference (collectively, "Terms of Use"). Financial Industry Regulatory Authority, Inc. (“FINRA”) reserves any rights, privileges, or immu...

FINRA is amending their rules that govern registration and continuing education and implementing a Maintaining Qualifications Program to extend the timeframe a terminated...

In This Issue. The Financial Crimes Enforcement Network (FinCEN) announced (1) a notice of proposed rulemaking for beneficial ownership information reporting requirements and (2) a...

Persons registered with a broker-dealer historically have had two years from their Form U5 filing date to re-register with another firm before their prior qualifications (examinations)...

FINRA announced a number of changes to its continuing education requirements, including that registrants must take CE requirements annually.