Blog 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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