Notices Subject Index – Q

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Qualification Examinations

Certificates; FYI, September 1998
Decimalization of; FYI, March 2001
Fees; 11-36; 08-61; 05-79; 04-73

Limited English Proficiency; IN 8/1/12

Operations Professionals; 11-42; 11-33; 10-25

Regulatory Element; 11-36

Scheduling; 11-36; IN 4/20/10

Series 4 (Registered Options Principal Examination); IN 6/5/13

Series 6 (Investment Company Products/Variable Contracts Representative (IR); 13-36IN 6/28/11

Series 7 (General Securities Representative Exam); 11-45; IN 10/22/08; 99-75; 98-16
Series 9 (General Securities Sales Supervisor (Options Module)); IN 6/5/1308-02 

Series 10 (General Securities); IN 6/5/1308-02; FYI, December 2002
Series 11 (Assistant Representative Order Processing); 05-19; FYI, December 2002

Series 16, Experience Acceptability Requests; 13-28IN 6/28/11; 08-67

Series 17 (United Kingdom Securities Representative); 11-45

Series 22 (Limited Representative – Direct Participation Programs); 06-35; 02-27
Series 23 (General Securities Principal Sales Supervisor Module); 07-62; 03-37
Series 24 (General Securities Principal); IN 6/28/11; 08-02; 07-62FYI, December 2002; 01-32
Series 26 (Investment Company Products/Variable Contracts Limited Principal); IN 6/28/11; 01-32
Series 27 (Limited Principal – Financial and Operations); 06-35; 02-27
Series 28 (Limited Principal – Introducing Broker-Dealer Financial and Operations; 06-35; 02-27

Series 37 (Canada Securities Representative); 11-45

Series 38 (Canada Securities Representative); 11-45
Series 39 (Limited Principal – Direct Participation Programs); 06-35; 02-27
Series 42 (Registered Options Representatives Exam); 07-6298-16
Series 51 (Municipal Fund Securities Limited Principal Qualification Examination); FYI, March 2003; FYI, December 2002

Series 52 (Municipal Securities Representative); 11-45
Series 55 (Assistant Representative Equity Trader); 13-22; 07-6206-35; 05-19; FYI, December 2002; 02-27; 00-46; 00-27; FYI, February 2000; FYI, August 1998; 98-60; 98-17; FYI, May 1997
Series 62 (Corporate Securities Limited Representative); 07-62FYI, December 2002; 01-32
Series 63 (Uniform Securities Agent State Law Examination); FYI, August 2000
Series 65 (Uniform Investment Adviser Law Exam); FYI, August 2000; FYI, January 2000
Series 66 (Uniform Combined State Law Exam); FYI, August 2000; FYI, January 2000
Series 72 (Government Securities Representatives Exam); 07-6298-16; FYI, May 1997
Series 79 (Limited Representative – Investment Banking); 09-41

Series 82 (Limited Representative – Private Securities Offerings); 07-6202-27; 01-39

Series 86/87 (Research Analyst Qualification Examination); 05-24; 05-14; 05-13; 04-81
Waiver Requests; 08-67; 04-59

Qualification Requirements

08-02; 03-44

Operations Professionals; 11-33

Qualified Independent Underwriter

Definition; 06-52, 97-68

Public Offerings; 09-49

Quarterly Reporting

11-06

Quid Pro Quo

New Issues; 10-60

Quotations

13-12

Display of; 10-4206-50; 04-28; 02-82; 01-47
Halts; 10-43; 10-30; 07-22; 07-09

Minimum Quotation Size; 12-37

Reporting/Recording; 04-28; 02-82