FINRA Establishes New Registration and Qualification Requirements
Client Memorandum

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FINRA announced that new rules governing the registration and qualification of member firms’ associated persons will become effective on October 1, 2018. The new rules will require substantial changes to firms’ registration practices and procedures, including monitoring that each individual meets the qualification requirements for his or her role. However, the rules include many grandfathering provisions that will limit the need for existing registered representatives and principals to pass new qualifying examinations.

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