Revisions to the Series 4 Examination Program

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.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 116.01 KB
Notice of Filing and Immediate EffectivenessPDF - 21.9 KB