FINRA Provides Implementation Date for Series 57 Exam (FINRA Reg. Notice 15-45)

FINRA announced SEC approval for, and provided firms with, information about the Securities Trader registration category and qualification examination ("Series 57"). It also provided information regarding the Securities Trader Principal registration category, the Series 57 examination fee and the implementation of new registration categories, as well as the Regulatory Element Continuing Education (CE) Program for Securities Traders.

Candidates for the Series 57 examination will be able to schedule and take the examination beginning on January 4, 2016