FINRA gives unregistered SAs a second chance

Second chance for unregistered SAs through the FINRA Maintaining Qualifications Program FINRA has given SAs deregistered before March 2022 a second chance to maintain their registrations. Its new Maintaining Qualifications Program (MQP) set up in 2022 enables SAs without an employer to maintain their registration for five years by carrying out continuing education through the … Read more

FINRA eases two-year limit for unregistered SAs

FINRA Rule Change for SA License Renewal One of the biggest bugbears for SAs is the danger of losing their licence once they are out of work. From the date of being de-registered by a firm, SAs have two years to get re-registered and keep their licence active. If they don’t manage this, after the … Read more

What is the state of the SA market? August 2021

In order to further understand the State of the SA Market we performed an Analysis. We sampled data for about 500 supervisory analysts around the world. We were interested in the distribution of ages, where SAs were based and what type of firm they worked for. More specifically, we wanted to know whether young SAs … Read more

FINRA eliminates SA experience requirement

As of 1 October 2018, FINRA, the US financial regulator, has eliminated the experience prerequisite for the Series 16 supervisory analyst (SA) exam. The full FINRA notice can be seen here. The ruling has the effect of adopting Incorporated NYSE Rule 344 into FINRA Rule 1220(a)(14). Previously candidates for the exam had to have at … Read more