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Regulatory Alert

MIAX Pearl

September 11, 2018 | 04:30 PM

MIAX PEARL - Terminating Web CRD Registration Categories and Related Qualification Exams

Effective October 1, 2018, in accordance with FINRA’s restructuring of representative-level qualification examinations and licenses, MIAX will terminate the following CRD registration categories:
 

  • CD – Series 37 Canada Securities Representative Examination – Options
  • CN – Series 38 Canada Securities Representative Examination – Non-Options
  • IE – Series 17 United Kingdom Securities Examination
  • AP – Approved Person – No Examination
 
Please refer to MIAX PEARL Regulatory Circular 2018-32 for further details.

Any inquiries regarding this notice may be directed to John Cunningham, Member Services at memberservices@miami-holdings.com or (609) 897-1479.