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FINRA Information Notice: New Regulatory Element Continuing Education Program

FINRA announced the establishment of a new Regulatory Element continuing the education requirements for persons who are registered as operations professionals.

See: FINRA Information Notice; FINRA Press Release.

Tags

Regulated Activities
Employee Matters
Sub-Activity
Training / Continuing Education
Regulated Entities
Adviser / CTA / CPO
Body of Law
Securities Law
Jurisdiction
US - Federal
Organization
FINRA / MSRB / SEC Exchanges / SIPC / Accountants
Sub-Author
FINRA