Johnsen, Edward J.; Grady, John H. - In: Journal of Investment Compliance 19 (2018) 1, pp. 42-49
Purpose: To explain a new set of rules, detailed in FINRA Regulatory Notice 17-30, proposed by the Financial Industry Regulatory Authority (FINRA) and approved by the US Securities and Exchange Commission (SEC), that revise and streamline the number and types of proficiency exams broker-dealer...