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Notice Rule

Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt FINRA Rule 1240.03 (Senior Leader Regulatory Element Interim Program) to Establish an Interim Program of Regulatory Element Continuing Education

Registered Securities Associations, Financial Industry Regulatory Authority (FINRA)

Public Comments

Submit a Comment on SR-FINRA-2026-023

Last Reviewed or Updated: Nov. 2, 2026

Resources

Notice Rule: SEC Issued Version (pdf 193.66 KB)

Exhibit 5

Details

Public Comments Due

21 days after date of publication in the Federal Register.

File Number

SR-FINRA-2026-023

Rule Type

Notice

Release Number

34-106797

SEC Issue Date

Nov. 2, 2026

Rules & Regulations

Enforcement & Litigation

Compliance

Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt FINRA Rule 1240.03 (Senior Leader Regulatory Element Interim Program) to Establish an Interim Program of Regulatory Element Continuing Education

Public Comments

Resources

Details

More in this Section

Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt FINRA Rule 1240.03 (Senior Leader Regulatory Element Interim Program) to Establish an Interim Program of Regulatory Element Continuing Education

Public Comments

Resources

Details