NASD has submitted with the Securities and Exchange Commission (“SEC” or “Commission”) revisions to the study outline and selection specifications for the Limited Principal – Registered Options (Series 4) examination program. The proposed revisions update the material to reflect changes to the laws, rules, and regulations covered by the examination.
| Text of Proposed Rule Change | (PDF 117 KB) |
| Notice of Filing and Immediate Effectiveness | (PDF 22 KB) |