FINRA: Details of operations professional examination laid out in three regulatory notices
Under a new Finra rule, the operations staff of a broker-dealer must pass an examination, Series 99. The…
Under a new Finra rule, the operations staff of a broker-dealer must pass an examination, Series 99. The agency has proposed to the SEC rules that would implement the selection specifications and study outline, the fee for the exam and supplementary material that clarifies how the exam applies to employees of foreign broker-dealers.
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