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Regulatory Release

Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish the Securities Trader and Securities Trader Principal Registration Categories and To Establish the Series 57 Examination as the Appropriate Qualification Examination for Securities Traders

Details

Rule Type

Notice

Release Number

34-76691

SEC Issue Date

Dec. 18, 2015 | 1:54 pm ET

Federal Register Publish Date

Dec. 24, 2015 | 11:42 pm ET

Document Citation

80 FR 80425

Resources

34-76691

Federal Register Version

SRO Organization

Miami International Securities Exchange, LLC (MIAX)

Last Reviewed or Updated: July 19, 2023

Rules & Regulations

Enforcement & Litigation

Compliance

Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish the Securities Trader and Securities Trader Principal Registration Categories and To Establish the Series 57 Examination as the Appropriate Qualification Examination for Securities Traders

Details

Resources

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Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish the Securities Trader and Securities Trader Principal Registration Categories and To Establish the Series 57 Examination as the Appropriate Qualification Examination for Securities Traders

Details

Resources