NASD Notice to Members 05-70 - October 2005

Revisions to the Series 4, 6 and 9/10 Examination Programs; Implementation Date: November 30, 2005

NASD has revised the examination programs for the Limited Principal - Registered Options (Series 4), Limited Representative -Investment Company and Variable Contracts Products (Series 6), and Limited Principal - General Securities Sales Supervisor (Series 9/10).1 The changes are reflected in study outlines that are available on the NASD Web site (www.finra.org). The changes will appear in examinations administered starting on November 30, 2005.

 

Questions concerning this Notice may be directed to Joe McDonald, Associate Director, NASD Testing and Continuing Education Department (TCE), at (240) 386-5065; Elaine Warren, Lead Analyst, TCE, at (240) 386-4679; or Eva Cichy, Qualifications Specialist, TCE, at (240) 386-4680.

 

1 See Securities Exchange Act Release No. 52546 (September 30, 2005) (Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Revisions to the Series 4 Examination Program; File No. SR-NASD-2005-109); Securities Exchange Act Release No. 52547 (September 30, 2005) (Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Revisions to the Series 6 Examination Program; File No. SR-NASD-2005-110); and Securities Exchange Act Release No.52548 (September 30, 2005) (Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Revisions to the Series 9/10 Examination Program; File No. SR-NASD-2005-111). The three rule filings were filed with the SEC for immediate effectiveness on September 13, 2005.