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SEC Corrects Comment Submission Address in FINRA Accredited Investor Exam Notice

The Securities and Exchange Commission issued a correction to its October 2026 notice on a proposed FINRA-developed exam that could qualify natural persons for accredited investor status, fixing the public comment submission address.

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The Securities and Exchange Commission published a correction on November 3, 2026, to a notice it originally issued on Monday, October 5, 2026, concerning the potential designation of passage of an accredited investor exam — to be developed by FINRA — as a qualifying criterion for natural persons seeking accredited investor status. The correction appears in Federal Register Volume 91, Number 211, at pages 69282–69283, under Release No. 33-11445 and File No. 4-931.

The sole substance of the correction is a revised ADDRESSES section. The original notice, which began on page 63344 of the October 5, 2026 issue, contained an error on page 63336 in the first column of the ADDRESSES section. The corrected addresses now read as follows: electronic comments may be submitted either through the Commission's internet comment form at the URL designated for File No. 4-931, or by email, with File Number 4-931 included on the subject line. Paper comments should be directed to Vanessa A. Countryman, Secretary, Securities and Exchange Commission, 100 F Street NE, Washington, DC 20549-1090.

The Commission instructs that all submissions refer to File Number 4-931, that submitters use only one method of submission to facilitate efficient processing, and that no personally identifiable information be included in submissions. The Commission notes it may redact in part or withhold entirely from publication any submitted material that is obscene or subject to copyright protection, and that all submitted comments will be posted on the Commission's website.

What to watch

The underlying proceeding — the potential designation of a FINRA-developed exam as a qualifying pathway for natural persons to achieve accredited investor status — remains open for public comment under File No. 4-931. Interested parties should confirm current comment deadlines and use the corrected submission addresses now on record.

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Sources

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Every hard fact above is grounded in and cited to a primary source record.

  1. The correction was published on November 3, 2026, in Federal Register Volume 91, Number 211, at pages 69282–69283.

    federalregister.gov

  2. The underlying notice was originally issued on Monday, October 5, 2026.

    federalregister.gov

  3. The proceeding concerns the potential designation of passage of an accredited investor exam to be developed by FINRA as qualifying natural persons for accredited investor status.

    federalregister.gov

  4. The matter is designated Release No. 33-11445 and File No. 4-931.

    federalregister.gov

  5. The original notice began on page 63344 of the October 5, 2026 issue, and the error appeared on page 63336 in the first column of the ADDRESSES section.

    federalregister.gov

  6. Paper comments should be sent to Vanessa A. Countryman, Secretary, Securities and Exchange Commission, 100 F Street NE, Washington, DC 20549-1090.

    federalregister.gov

  7. Submitters are instructed to include File Number 4-931 on the subject line of email submissions.

    federalregister.gov

  8. The Commission states it may redact in part or withhold entirely from publication submitted material that is obscene or subject to copyright protection.

    federalregister.gov

  9. The Commission states it will post all submitted comments on its website.

    federalregister.gov

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