{"id":4534,"date":"2007-12-11T13:45:41","date_gmt":"2007-12-11T13:45:41","guid":{"rendered":"https:\/\/www.stockbrokerfraudblog.com\/2007\/12\/finra_consolidation_results_in"},"modified":"2022-03-28T14:31:52","modified_gmt":"2022-03-28T19:31:52","slug":"finra-consolidation-results-in","status":"publish","type":"post","link":"https:\/\/www.investorlawyers.com\/blog\/finra-consolidation-results-in\/","title":{"rendered":"FINRA Consolidation Results in Fewer Exams for Securities Firms"},"content":{"rendered":"<p>\t\t\t\tThanks to the consolidation of NYSE and NASD into the Financial Industry Regulatory Authority (FINRA), security firms registered in the United States will now content with fewer regulatory tests. FINRA officials announced the decrease in the number of examinations.<\/p>\n<p>Currently, a lot of firms are required to take a sales practice test and a financial examination with different regulators. Next year, however, the firms will be required to take just one examination that evaluates both finances and sales practices. <\/p>\n<p>FINRA officials will oversee this new test. Brokers will also be given exams on price verification, valuations, proper disclosure procedures, and fees received. <\/p>\n<div class=\"read_more_link\"><a href=\"https:\/\/www.investorlawyers.com\/blog\/finra-consolidation-results-in\/\"  title=\"Continue Reading FINRA Consolidation Results in Fewer Exams for Securities Firms\" class=\"more-link\">Continue Reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"<p>Thanks to the consolidation of NYSE and NASD into the Financial Industry Regulatory Authority (FINRA), security firms registered in the United States will now content with fewer regulatory tests. FINRA officials announced the decrease in the number of examinations. Currently, a lot of firms are required to take a sales practice test and a financial [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"jetpack_post_was_ever_published":false,"footnotes":""},"categories":[3739],"tags":[],"class_list":["post-4534","post","type-post","status-publish","format-standard","hentry","category-finra"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v27.4 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>FINRA Consolidation Results in Fewer Exams for Securities Firms &#8212; Investor Lawyers Blog &#8212; December 11, 2007<\/title>\n<meta name=\"description\" content=\"Thanks to the consolidation of NYSE and NASD into the Financial Industry Regulatory Authority (FINRA), security firms registered in the United States will &#8212; December 11, 2007\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.investorlawyers.com\/blog\/finra-consolidation-results-in\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"FINRA Consolidation Results in Fewer Exams for Securities Firms &#8212; Investor Lawyers Blog &#8212; December 11, 2007\" \/>\n<meta name=\"twitter:description\" content=\"Thanks to the consolidation of NYSE and NASD into the Financial Industry Regulatory Authority (FINRA), security firms registered in the United States will &#8212; December 11, 2007\" \/>\n<meta name=\"twitter:label1\" content=\"Written by\" \/>\n\t<meta name=\"twitter:data1\" content=\"Shepherd Smith Edwards &amp; Kantas, LLP\" \/>\n\t<meta name=\"twitter:label2\" content=\"Est. reading time\" \/>\n\t<meta name=\"twitter:data2\" content=\"1 minute\" \/>\n<!-- \/ Yoast SEO plugin. -->","yoast_head_json":{"title":"FINRA Consolidation Results in Fewer Exams for Securities Firms &#8212; Investor Lawyers Blog &#8212; December 11, 2007","description":"Thanks to the consolidation of NYSE and NASD into the Financial Industry Regulatory Authority (FINRA), security firms registered in the United States will &#8212; December 11, 2007","robots":{"index":"index","follow":"follow","max-snippet":"max-snippet:-1","max-image-preview":"max-image-preview:large","max-video-preview":"max-video-preview:-1"},"canonical":"https:\/\/www.investorlawyers.com\/blog\/finra-consolidation-results-in\/","twitter_card":"summary_large_image","twitter_title":"FINRA Consolidation Results in Fewer Exams for Securities Firms &#8212; 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