October 14, 2015 FINRA Proposes Content Outline and Selection Specifications for Securities Qualification Examination FINRA proposed selection specifications and a content outline for the new Securities Trader qualification examination (Series 57). Primary Sources FINRA Proposal Tags Regulated Activities Employee Matters Sub-Activity Qualifications Regulated Entities Broker-Dealers Regulatory Agencies Body of Law Securities Law Jurisdiction US - Federal Organization FINRA / MSRB / SEC Exchanges / SIPC / Accountants Sub-Author FINRA
Regulated Activities Employee Matters Sub-Activity Qualifications Regulated Entities Broker-Dealers Regulatory Agencies Body of Law Securities Law Jurisdiction US - Federal Organization FINRA / MSRB / SEC Exchanges / SIPC / Accountants Sub-Author FINRA