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FINRA Files Revisions to Series 16 Exam

FINRA has filed changes to the content outline and selection specifications for the Supervisory Analyst (Series 16) Examination program with the SEC.Changes include:

  • Modifications to the laws, rules, and regulations covered by the exam; and
  • Incorporation of the functions and associated tasks currently performed by a supervisory analyst.

See: FINRA Rule Filing Announcement; Text of the Proposed Rule Change.

Tags

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