SEC Seal Home | Jobs | Fast Answers | Site Map | Search
U.S. Securities and Exchange Commission

  About the SEC

  Filings & Forms

  Regulatory Actions

  Staff Interps

  Investor Info

  News & Statements



  Information for...


Comments on FINRA Rulemaking

Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt the Selection Specifications and Study Outline for the Operations Professional ("Series 99") Examination Program

[Release No. 34-65222; File No. SR-FINRA-2011-041]

Sep. 30, 2011 John Polanin and Claire Santaniello, Co-Chairs, Compliance and Regulatory Policy Committee 2011, SIFMA





Modified: 08/24/2011