Does FINRA accept the NYSE Compliance Official Examination in lieu of the FINRA qualification examinations?
Yes, to avoid imposing duplicative examination requirements on dual NASD/NYSE members, FINRA will accept, for purposes of chief compliance officer registration, the NYSE Series 14 Compliance Official examination in lieu of the FINRA Series 24, Series 26, or Series 39 principal examinations. However, note that the chief compliance officers who passed the Series 14 Examination will be required to satisfy the pre-requisite requirement before the general securities principal approval is granted.
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