Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by National Association of Securities Dealers, Inc. Relating to Amendments to the Examination Specifications and Study Outline for the Assistant Representative-Order Processing (Series 11) Examination

Summary

The National Association of Securities Dealers, Inc. has filed a proposed rule change to amend the examination specifications and study outline for the Assistant Representative-Order Processing (Series 11) examination.

Original source language: Federal Register — SECOpen original release →

Add your company to Business Communicator

We monitor business sources and connect attention with companies, profiles and services available in Business Communicator.

Create a free company profile Explore businesses on Business Maps →

Create a free company profile →

Explore insights

Business insights →

Global Markets News Trade Regulation News Business Technology News Fintech for Business: Payments & Banking News Supply Chain News Central Bank Policy News

Related business signals

Market regulation · 6/25/2026

OCC, Federal Agencies Publish Final Joint Rule for Financial Data Transparency Act

The Office of the Comptroller of the Currency (OCC), the Federal Reserve Board, the Federal Deposit Insurance Corporation (FDIC), the National Credit Union Administration (NCUA), the Consumer Financial Protection Bureau (CFPB), the Federal Housing Finance Agency (FHFA), the Commodity Futures Trading Commission (CFTC), the Securities and Exchange Commission (SEC), and the U.S. Department of the Treasury are publishing a final joint rule to establish data standards to promote interoperability of financial regulatory data across these agencies. This joint rule will be considered for potential incorporation into data standards for certain collections of information in separate rulemakings by the agencies or through other actions taken by the agencies.

Read summary →

Market regulation · 7/21/2026

CFTC Issues Order to Exempt CME from Opening Price Settlement Requirement for Cash-Settled Futures

The Commodity Futures Trading Commission has issued an order providing exemptive relief to the Chicago Mercantile Exchange Inc. to facilitate the listing of cash-settled futures on individual equity securities, allowing for trading on its designated contract market and national securities exchange registration.

Read summary →

Market regulation · 8/6/2026

CFTC Announces Public Comment Period for Renewal of Derivatives Clearing Information Collection

The Commodity Futures Trading Commission is seeking public comment on its proposed renewal of a collection of information related to derivatives clearing organizations, as required by the Paperwork Reduction Act.

Read summary →

Market regulation · 7/28/2026

CFTC Announces Public Comment Period for Renewal of Information Collection

The Commodity Futures Trading Commission is seeking public input on the proposed extension of a data collection process for derivatives clearing organizations, as required by the Paperwork Reduction Act.

Read summary →

Market regulation · 6/24/2026

CFTC and SEC Request Public Comment on Swap Data Reporting Changes

The Commodity Futures Trading Commission and the Securities and Exchange Commission are seeking public input on proposed modifications to the reporting requirements for swap and security-based swaps.

Read summary →

Market regulation · 6/24/2026

CFTC and SEC Request Public Comment on Regulatory Lines and Alternative Compliance

The Commodity Futures Trading Commission and the Securities and Exchange Commission jointly request public input on clarifying regulatory boundaries for innovative products and exploring alternative compliance methods.

Read summary →