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FINRA Proposes Revisions to Series 27 and Series 28 Exams

FINRA proposed revisions to the content outline and selection specifications for the Financial and Operations Principal ("Series 27") and the Introducing Broker-Dealer Financial and Operations Principal ("Series 28") examination programs. The proposed revisions for both examination programs would update the material to reflect changes to the laws, rules and regulations covered by the examinations and to incorporate their functions and associated tasks. FINRA also proposed to make changes to the format of the content outline of both examination programs.

Primary Sources

  1. Text of Proposed Revisions to Series 27 Examination Program
  2. Text of Proposed Revisions to Series 28 Examination Program

Tags

Regulated Activities
Employee Matters
Sub-Activity
Qualifications
Regulated Entities
Broker-Dealers
Body of Law
Securities Law
Jurisdiction
US - Federal
Organization
FINRA / MSRB / SEC Exchanges / SIPC / Accountants
Sub-Author
FINRA