FINRA has recently announced changes to a number of qualifications exams for principals and representatives that will be effective on exams beginning February 12, 2008. The exams subject to change are:- General Securities Principal Sales Supervisor Module (Series 23);
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General Securities Principal (Series 24);
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Limited Representative - Options (Series 42);
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Limited Representative - Equity Trader (Series 55);
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Limited Representative - Corporate Securities (Series 62);
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Limited Representative - Government Securities (Series 72); and
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Limited Representative - Private Securities Offerings (Series 82).
The exam changes include coverage of new topics and also modifications to their topic weighting. For your convenience, you may access the FINRA Regulatory Notice which provides an overview of these changes at:
www.finra.org/web/groups/rules_regs/documents/notice_to_members/p037606.pdf
The link below will allow you to access the updated FINRA exam outlines from the FINRA website by clicking on the respective Series you would like to review.
www.finra.org/RegistrationQualifications/BrokerGuidanceResponsibility/Qualifications/p011096?ssSourceNodeId=759&ssSourceSiteId=5
Kaplan Financial recommends that persons who are expected to acquire these registrations schedule exams prior to the date of change if possible.
If Series 24 or 55 is to be taken following the introduction of the exam changes, please contact Kaplan Financial at answerphonedesk@kaplan.financial.com or by calling AnswerPhone at 800-621-9621, ext. 3598, to request a Test Alert! which will provide content updates and sample questions. Test Alert!s will be available for these series by February 1, 2008. Please remember to identify the Series exam which you will be taking when you make your request.
Be sure to check this site for further updates regarding these exam changes. As always, Kaplan Financial is committed to your exam success by providing you the most current information on these and other exam changes.
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