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RJ & Makay

Our view of news, events and human capital trends in the financial services industry.
Tags >> qualification exam

New registration requirement for key back-office personnel

Posted by RJ and Makay on Jun 21, 2011

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The Securities and Exchange Commission (SEC) has approved a plan by the Financial Industry Regulatory Authority (FINRA) that will institute a new Operations Professional license requiring a qualification exam and continuing education updates.  FINRA had proposed the new rule because of “the growing complexity of the financial services industry.”