Federal Register #SR-NYSENAT-2026-26

Regulatory Notice: NYSE National Rule Change on ETP Holder Registration Exam Waiting Periods

This notice from the Securities and Exchange Commission (SEC) concerns a proposed rule change by NYSE National, Inc. regarding registration requirements for Equity Trading Permit (ETP) Holders. - Government buyer: - Securities and Exchange Commission (SEC) - NYSE National, Inc. as the rule filer - OEMs and vendors mentioned: - NYSE National, Inc. - Financial Industry Regulatory Authority, Inc. (FINRA) - Products/services requested: - No products or services are being procured; this is a regulatory notice - Unique or notable requirements: - Proposed amendment to NYSE National Rule 2.1210 - Reduces waiting periods for retaking FINRA qualification exams - First and second failed attempts: waiting period reduced from 30 to 15 days - Third and subsequent failed attempts within two years: waiting period reduced from 180 to 60 days - Aligns NYSE National's rules with FINRA's recent changes - Aims to reduce barriers for individuals seeking registration in the securities industry - No procurement activity, contract value, or product/service line items involved

Description

This notice announces a proposed rule change filed by NYSE National, Inc. to amend Rule 2.1210 concerning registration requirements for Equity Trading Permit Holders. The amendment aims to reduce the waiting periods for retaking FINRA qualification examinations to align with recent FINRA rule changes, shortening the waiting periods after failed attempts. The change promotes consistency with FINRA rules and reduces barriers for individuals seeking to register in the securities industry. The rule change has immediate effectiveness and is open for public comment until October 16, 2026.

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