Title

FINRA Proposes Changes to Personnel Registration Requirements
Client Memorandum

Created date

1/22/2010

On December 3, 2009, the Financial Industry Regulatory Authority (“FINRA”) proposed for public comment new rules (the “Proposed Rules”) that would govern registration and qualification requirements for persons associated with FINRA member firms. The Proposed Rules will not become effective until filed with and approved by the SEC, following a second comment period.