IEX Adds Sales Supervisor Exam: Wall Street's Latest Paper Chase
Published Date: 7/27/2026
Notice
Summary
IEX is adding a new registration category called General Securities Sales Supervisor and the related Series 9/10 exam to its rules. They’re also updating their continuing education requirements to match recent FINRA changes. These updates affect securities professionals and take effect immediately, with no new fees involved.
Analyzed Economic Effects
3 provisions identified: 3 benefits, 0 costs, 0 mixed.
IEX Recognizes Series 9/10 Supervisors
IEX is adding a General Securities Sales Supervisor registration category and will require the Series 9/10 qualification examinations to register in that category. The rule says a person must be registered as a General Securities Representative and pass the Series 9/10 prior to or at the same time as registering as a General Securities Sales Supervisor.
Continuing Education Aligned With FINRA
IEX will update its description of the Regulatory Element continuing education to conform with FINRA's reorganized Regulatory Element modules. IEX will remove its current chart in Rule 2.160(p)(a) so its continuing education requirements match FINRA Rule 1240(a) and FINRA's current course structure.
Rule Change Operative Immediately
The Commission waived the normal 30-day delay and made IEX's proposed changes operative upon filing on July 15, 2026. FINRA will automatically update relevant IEX Options Members' records in the Central Registration Depository (CRD) in late July 2026 to reflect Series 9/10 registrations.
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