SECURITIES AND EXCHANGE COMMISSION ISSUES NOTICE: SELF-REGULATORY ORGANIZATIONS; FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC.; NOTICE OF FILING AND IMMEDIATE EFFECTIVENESS OF A PROPOSED RULE CHANGE TO ADOPT FINRA RULE 1240.03 (SENIOR LEADER REGULATORY ELEMENT INTERIM PROGRAM) TO ESTABLISH AN INTERIM PROGRAM OF REGULATORY ELEMENT CONTINUING EDUCATION

WASHINGTON, Nov. 5 -- Securities And Exchange Commission has issued a notice called: Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt FINRA Rule 1240.03 (Senior Leader Regulatory Element Interim Program) To Establish an Interim Program of Regulatory Element Continuing Education.

The notice was published in the Federal Register on Nov. 5 by Sherry R. Haywood, Assistant Secretary.

The full text of the notice can be found at: http://www.gpo.gov/fdsys/pkg/FR-2026-11-05/html/2026-22561.htm

Disclaimer: Curated by HT Syndication....