Maintaining Qualifications Program News Today : Breaking News, Live Updates & Top Stories | Vimarsana

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...

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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...