information

FINRA’s Maintaining Qualifications Program Second Enrollment Period Open Through December 2023

ID 25189

As previously announced (EventID 20218), the Financial Industry Regulatory Authority, FINRA, has published a press release to inform previous FINRA member firms or registered individuals which
(a) have de-registered from FINRA within the past two years prior to March 15, 2022 and
(b) missed the deadline to sign up for participation in the „Maintaining Qualifications Program (MQP)
that they may now enroll in the MQP during the second enrollment period which will end on December 31, 2023. The MQP is available to certain previously registered member firms to maintain their qualification status without having to re-register and to re-take the qualification exams of FINRA following the termination of their registrations.
More information on this issue, especially the eligibility requirements for participating in the MQP, may be found on FINRA’s dedicated MQP website and in the above noted Event.

Other Features
broker
investment firms
professional competence
registration
Date Published: 2023-10-03
Regulatory Framework: FINRA Rules
Regulatory Type: information

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