FINRA Notice 16-02


Implementation Date: March 7, 2016

FINRA periodically reviews the content of qualification examinations to determine whether revisions are necessary or appropriate in view of changes—including changes to the laws, rules and regulations—pertaining to the subject matter the examinations cover. Based on this review process, FINRA has revised the General Securities Sales Supervisor (Series 9/10) examination program.

The changes are reflected in the Series 9/10 content outline on FINRA’s website and will appear in Series 9/10 examinations administered on or after March 7, 2016.

See the attached pdf, for the full text:

pdf FINRA_Notice_16-02.pdf