Page 2 - Qualifications Program News Today

What advisors need to know about FINRA's Maintaining Qualifications Program.

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 adopted amendments to rules on continuing education and registration requirements to provide accommodations for individuals with terminated registrations to maintain their qualification.

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