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FINRA Extends the Registration Qualification Window from Two to Five Years After Termination | Goodwin

Published: December 8, 2021

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)...

Source: jdsupra.com

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Financial Services Affiliate Waiver ProgramFirm ElementQualifications ProgramMaintaining Qualifications ProgramFinancial Professional GatewayRegulatory Element

FINRA Rule Changes Let Out-Of-Work Registrants Keep Qualifications

Published: November 22, 2021

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

Source: wealthmanagement.com

Related Topics:

Sander ResslerExchange CommissionEdge Compliance Outsourcing ServicesQualifications ProgramFinancial Industry Regulatory AuthorityMaintaining Qualifications ProgramRegulatory ElementEssential Edge Compliance Outsourcing Services