NASD Notice to Members 02-02 - January 2002

Effective Date For New Series 6 Program Regulatory Element (S106) For Investment Representatives

Executive Summary

This NASD Notice to Members announces that Monday, January 14, 2002, is the effective date that the new Series 6 Program Regulatory Element (S106) for Investment Representatives will begin to be delivered at Sylvan/ Prometric Centers in North America, VUE Centers outside North America, and at member firms participating in In-Firm Delivery of the Regulatory Element (see NASD Notice to Members 01-14, February 2001). This means that any Series 6-registered person who takes the Regulatory Element on or after January 14, 2002, will participate in the S106 Program instead of the S101 General Program. All Supervisors/Principals will continue to take the Supervisor's Program (S201). All other registration categories will continue to take the General Program (S101).

 

Questions about this Notice should be directed to John Linnehan, Director, Continuing Education, NASD Regulation, at (240) 386-4684; or Heather Bevans, Continuing Education Communications Coordinator, NASD Regulation, at (240) 386-4685.