Federal Register #SR-NYSEARCA-2026-96

Regulatory Notice: NYSE Arca Rule 2.1210 Exam Retake Periods Reduced

This notice from the Securities and Exchange Commission (SEC) concerns a regulatory change impacting qualification exam retake periods for financial industry professionals. - Government buyer: - Securities and Exchange Commission (SEC) - NYSE Arca, Inc. (as rule filer) - OEMs and vendors: - NYSE Arca, Inc. (regulatory body) - Financial Industry Regulatory Authority, Inc. (FINRA) - Products/services requested: - No products or services are being procured; this is a regulatory action - Notable requirements: - The waiting period for retaking FINRA qualification exams is reduced - After first and second failed attempts: from 30 to 15 calendar days - After third and subsequent failed attempts within two years: from 180 to 60 calendar days - Aligns NYSE Arca Rule 2.1210 with recent FINRA amendments - Affects registration requirements for Members and associated persons - No purchase quantities, part numbers, or procurement-specific requirements are present

Description

The Securities and Exchange Commission has filed a proposed rule change by NYSE Arca, Inc. to amend NYSE Arca Rule 2.1210. The amendment reduces the waiting periods for retaking FINRA qualification examinations to align with recent changes by FINRA. Specifically, the waiting period after the first and second failed attempts is reduced from 30 to 15 calendar days, and after the third and subsequent failed attempts within two years from 180 to 60 calendar days. This change aims to promote consistency and reduce confusion for Members and their associated persons.

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