Federal Register #SR-PEARL-2026-37

SEC Notice: MIAX PEARL Proposed Rule Change to Reduce FINRA Exam Retake Waiting Periods

This notice from the Securities and Exchange Commission (SEC) addresses a proposed rule change by MIAX PEARL, LLC regarding securities industry qualification exams. - Government buyer: Securities and Exchange Commission (SEC) - No OEMs, vendors, or commercial products are mentioned, as this is a regulatory notice - Subject: Proposed amendment to MIAX PEARL Exchange Rule 3100, Interpretation and Policy .06 - Seeks to reduce waiting periods for retaking FINRA qualification examinations after failed attempts - Aligns MIAX PEARL's requirements with those of FINRA - No products, part numbers, or quantities are requested - No unique procurement requirements; the notice is focused on regulatory harmonization and easing registration burdens for industry professionals

Description

The Securities and Exchange Commission published a notice regarding a proposed rule change filed by MIAX PEARL, LLC. The proposal aims to amend Exchange Rule 3100, Interpretation and Policy .06, to reduce the waiting periods for retaking FINRA qualification examinations. The change aligns the Exchange's requirements with FINRA's recent rule change, shortening the waiting periods after failed attempts to retake qualification exams. This amendment is intended to lessen the burden on individuals seeking registration in the securities industry while maintaining program integrity and investor protection.

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