FinReg + Policy Watch
December 10, 2021
FINRA Extends the Registration Qualification Window from Two to Five Years After Termination
Persons registered with a broker-dealer historically have had two years from their Form U5 filing date to re-register with another firm before their prior qualifications (examinations) would lapse. Our recent Client Alert discusses a FINRA rule change that extends this to five years under certain circumstances.
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