Federal Register #SR-IEX-2026-21

SEC Notice: IEX Proposed Rule Change for Registration and Education Requirements

This notice from the Securities and Exchange Commission (SEC) outlines a proposed rule change by Investors Exchange LLC (IEX) regarding registration and continuing education requirements for securities professionals. - Government Buyer: - Securities and Exchange Commission (SEC) - Investors Exchange LLC (IEX) as the self-regulatory organization proposing the rule change - OEMs and Vendors Mentioned: - Financial Industry Regulatory Authority (FINRA) - Investors Exchange LLC (IEX) - Products/Services Requested: - No products or services are being procured; this is a regulatory notice - Key Details: - The rule change adds the General Securities Sales Supervisor registration category to IEX rules - Requires associated persons to pass the Series 9/10 Qualification Examination - Updates the description of Regulatory Element Continuing Education Requirements to align with FINRA - Clarifies supervisory roles and limitations for General Securities Sales Supervisors - Aims to harmonize IEX's requirements with other options exchanges and FINRA, supporting the launch of options trading on IEX - No procurement or contract opportunity is present in this notice

Description

The Securities and Exchange Commission has filed a proposed rule change by Investors Exchange LLC to amend IEX Rule 2.160 and Rule 18.110 concerning the General Securities Sales Supervisor Registration Category and the Series 9/10 Qualification Examination. The amendments also include changes to Rule 2.160 regarding the Regulatory Element Continuing Education Requirements. The rule change is filed for immediate effectiveness and aims to align IEX's registration categories and continuing education requirements with those of other options exchanges, facilitating the commencement of options trading on the Exchange.

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