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Exam Number : Series6
Exam Name : NASD Series 6
Vendor Name : Business-Tests
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Series6 Exam Format | Series6 Course Contents | Series6 Course Outline | Series6 Exam Syllabus | Series6 Exam Objectives


The Series 6 Exam is the Investment Company and Variable Contracts Products Representative Qualification
Exam. The examination is developed and maintained by the Financial Industry Regulatory Authority (FINRA).
This Content Outline provides a comprehensive guide to the topics covered on the Investment Company and
Variable Contracts Products Representative Qualification Exam (Series 6). The outline is intended to
familiarize examination candidates with the range of subjects covered on the examination, as well as the depth of
knowledge required. Sample questions are also included to acquaint candidates with the types of multiple-choice
questions used on the examination. It is recommended that candidates refer to the content outline as part of their
preparation to take the examination. Candidates are responsible for planning their course of study in preparation for
the examination.



The Series 6 Exam is designed to assess the competency of entry-level Investment Company and Variable
Contracts Products Representatives. It is intended to safeguard the investing public by helping to ensure that
Investment Company and Variable Contracts Products Representatives are competent to perform their jobs. Given
this purpose, the Series 6 Exam seeks to measure the degree to which each candidate possesses the
knowledge, skills and abilities needed to perform the critical functions of an Investment Company and Variable
Contracts Products Representative. For more information about the permissible activities of an Investment Company
and Variable Contracts Products Representative.



Job Functions Number of Questions

Function 1 Regulatory fundamentals and business development 22

Function 2 Evaluates customers financial information, identifies investment objectives, provides information on investment products, and makes suitable recommendations 47

Function 3 Opens, maintains, transfers and closes accounts and retains appropriate account records 21

Function 4 Obtains, verifies, and confirms customer purchase and sale instructions 10

Total 100



The Series 6 Content Outline was developed based on the results of a job analysis study of Investment Company
and Variable Contracts Products Representatives. The job analysis process included collecting data about the job
functions, tasks and required knowledge of Investment Company and Variable Contracts Products Representatives
from a wide variety of firms using numerous data collection techniques, including a survey.

To ensure and sustain the job relevance of the examination, under the guidance of FINRA staff, a committee of
industry representatives (“the Committee”) writes, reviews and validates all test questions. Test questions are
subjected to multiple reviews prior to inclusion on the examination and each question is linked directly to a
component of the content outline. Test questions vary in difficulty and complexity. Each question will have only one
correct or best answer.

The bank of test questions changes constantly as a result of amendments to, or the introduction of, government and
self-regulatory organization (SRO) rules and regulations, changes in industry practice and the introduction of new
products. It is the candidates responsibility to keep abreast of such changes when preparing to take the
examination. Exam questions and their statistical performance are analyzed routinely by FINRA staff and the
Committee to ensure that test questions continue to be relevant to the functions of Investment Company and Variable
Contracts Products Representatives. Exam questions are updated when necessary to reflect current industry
practices and government and SRO rules and regulations.



The examination is administered via computer. A tutorial on how to take the examination via computer is provided
prior to taking the examination. Each candidates examination includes 5 additional, unidentified pretest questions
that do not contribute toward the candidate's score. The 5 questions are randomly distributed throughout the
examination. Therefore, each candidates examination consists of a total of 105 questions (100 scored and 5
unscored). Each scored test question is worth one point. There is no penalty for guessing. Therefore, candidates
should attempt to answer all questions. Candidates will be allowed 135 minutes to complete the examination.
Scratch paper and basic electronic calculators will be provided to candidates by the test administrator, and must be
returned to the test center administrator at the end of the testing session. Some test questions involve calculations.
Only calculators provided by the test center administrators are allowed for use during the examination.
Candidates will not be permitted to bring any reference material to their testing session. Severe penalties are
imposed on candidates who cheat or attempt to cheat on FINRA-administered examinations.



Following a well-established process known as standard setting, FINRA determines the passing score for the
examination based on the judgment of a committee of industry professionals with the designated registration. For the
Series 6 exam, the passing score is 70. This passing score reflects the competency needed to hold the designated
registration.



All candidate test scores have been placed on a common scale using a statistical adjustment process known as
equating. Equating scores to a common scale accounts for the slight variations in difficulty that may exist among the
different sets of exam questions that candidates receive. This allows for a fair comparison of scores and ensures that
every candidate is held to the same passing standard regardless of which set of exam questions he or she received.



On the day of the test, candidates will receive a report of their test results both on screen and in paper format at the
end of their test session. The score report will indicate pass/fail status and a score profile indicating performance
based on each major content area covered on the examination. It is recommended that candidates who fail the
examination review the information provided on the score report, as they may want to focus on the areas that they
performed poorly on when preparing to retake the examination. For security reasons, the examination and individual
test questions are not available for review after taking the examination.



FUNCTION 1 – Regulatory fundamentals and business development

1.1: Demonstrates understanding of fundamental regulatory knowledge and provides personal
and professional information required to be disclosed to obtain and maintain appropriate
registration(s)

Knowledge of:

• General industry regulations, including SEC, SRO, and state requirements

• Registration, qualification, continuing education, and termination of employment of associated
persons

• Permitted activities for registered and non-registered associated persons

FINRA By-Laws

Article I – Definitions

Paragraph (rr) – Person Associated with a Member

Article III – Qualifications of Members and Associated Persons

Section 1 – Persons Eligible to Become Members and Associated Person of Members

Section 3 – Ineligibility of Certain Persons for Membership or Association

Section 4 – Definition of Disqualification

Article V – Registered Representatives and Associated Persons

FINRA Rules

1010 – Electronic Filing Requirements for Uniform Forms

1122 – Filing of Misleading Information as to Membership or Registration

1250 – Continuing Education Requirements

2263 – Arbitration Disclosure to Associated Persons Signing or Acknowledging Form U4

3110 – Supervision

3270 – Outside Business Activities of an Associated Person

4530 – Reporting Requirements

8312 – FINRA BrokerCheck Disclosure

NASD Rules

IM-1000-2 – Status of Persons Serving in the Armed Forces of the United States

1031 – Registration Requirements

1032(b) – Investment Company and Variable Contracts Products Representative

1060 – Persons Exempt from Registration

1070 – Qualification Exams and Waiver of Requirements

1080 – Confidentiality of Exams

3010(e) – Supervision (Qualifications Investigated)

3010(f) – Supervision (Applicants Responsibility)

3040 – Private Securities Transactions of an Associated Person

3050 – Transactions for or by Associated Persons

Securities Exchange Act of 1934

Section 3(a) – Definitions and Application of Title

Section 15 – Registration and Regulation of Brokers and Dealers

Section 15A – Registered Securities Associations

Section 17(f)(2) – Accounts and Records, Reports, Exams of Exchanges, Members,
and Others

Rule 17f-2 – Fingerprinting of Security Industry Personnel

Investment Advisers Act of 1940

Section 201 – Findings

Section 202(a) – Definitions (of investment advisers and persons associated with an
investment adviser)

Section 203 – Registration of Investment Advisers

1.2: Solicits business by contacting and building relationships with customers and prospects in
person, by telephone, mail or electronic means

Knowledge of:

• Product definitions and classifications

• Required approvals and content standards of public communications: retail communications,
institutional communications, correspondence, research reports, telephone solicitations

• Appropriate use of professional designations

• Definition of regulated investment company by the Internal Revenue Code

• “Conduit” or “pipeline” theory, required distribution of income and realized capital gains

• “Do-not-call” lists and other telemarketing requirements

FINRA Rules

2210 – Communications with the Public

2212 – Use of Investment Companies Rankings in Retail Communications

2213 – Requirements for the Use of Bond Mutual Fund Volatility Rating

2214 – Requirements for the Use of Investment Analysis Tools

3160 – Networking Arrangements Between Members and Financial Institutions

3170 – Tape Recording of Registered Persons by Certain Firms

3230 – Telemarketing

4512 – Customer Account Information

5230 – Payments Involving Publications that Influence the Market Price of a
Security

NASD Rules

IM-2210-2 – Communications with the Public About Variable Life Insurance and Variable
Annuities

Securities Act of 1933

Section 2 – Definitions; Promotion of Efficiency, Competition, and Capital Formation

(definitions of “offer to sell” and “prospectus”)

Section 5 – Prohibitions Relating to Interstate Commerce and the Mails

Section 17 – Fraudulent Interstate Transactions

Rule 134 – Communications Not Deemed a Prospectus

Rule 482 – Advertising by an Investment Company as Satisfying Requirements of Section

10 of Securities Act of 1933

Investment Company Act of 1940

Section 2 – General Definitions

Section 3 – Definition of Investment Company

Section 4 – Classification of Investment Companies

Section 5 – Subclassification of Management Companies

Section 6 – Exemptions

Section 8 – Registration of Investment Companies

Rule 34b-1 – Sales Literature Deemed to Be Misleading

1.3: Discusses the products and services offered with customers and prospects and distributes

offering and disclosure documents

Knowledge of:

• Content and delivery of prospectuses, Statement of Additional Information (SAI), and other offering

documents

• Networking arrangements

• Regulations related to marketing/prospecting

• Initial privacy disclosures to customers (e.g., definitions, privacy and opt-out notices, disclosure

limitations, exceptions)

FINRA Rules

2020 – Use of Manipulative, Deceptive, or other Fraudulent Devices

2266 – SIPC Information

NASD Rule

2420 – Dealing with Non-Members

Securities Exchange Act of 1934

Section 3(a)(4)(B) – Definitions and Application, Broker (Exception for Certain Bank

Activities)

Section 10 – Manipulative and Deceptive Devices

Rule 10b-3 – Employment of Manipulative and Deceptive Devices by Brokers or Dealers

Securities Act of 1933

Section 10 – Information Required in Prospectus

Section 23 – Unlawful Representations

Regulation D – Rules Governing the Limited Offer and Sale of Securities Without

Registration Under the Securities Act of 1933

Rule 431 – Summary Prospectuses

Rule 498 – Summary Prospectuses for Open-End Management Investment Companies

Rule 501 – Definitions and Terms Used in Regulation D

Rule 506 – Exemption for Limited Offers and Sales Without Regard to Dollar Amount of

Offering

Investment Company Act of 1940

Section 35 – Unlawful Representations and Names

Rule 35d-1– Investment Company Names

1.4: Conducts seminars and holds other public forums with customers and prospects, and

obtains appropriate approvals

Knowledge of:

• Definitions of retail communications, institutional communications and correspondence, including

categorization of public appearances, seminars and related sales literature and advertising

• Regulations regarding communications with the public

• Standards and approval of communications

FINRA Rules

2210 – Communications with the Public

NASD Rule

IM-2210-2 – Communications with the Public About Variable Life Insurance and Variable

Annuities

Securities Act of 1933

Section 12 – Civil Liabilities Arising in Connection with Prospectuses and Communications

Rule 135a – Generic Advertising

Rule 135b – Materials Not Deemed an Offer to Sell or Offer to Buy Nor a Prospectus

Rule 156 – Investment Company Sales Literature

Rule 482 – Advertising by an Investment Company as Satisfying Requirements of Section

10 of Securities Act of 1933

Investment Company Act of 1940

Section 30(b) – Periodic and Other Reports; Reports of Affiliated Persons

Rule 34b-1 – Sales Literature Deemed to be Misleading



FUNCTION 2 – Evaluates customers financial information, identifies

investment objectives, provides information on investment products, and

makes suitable recommendations

2.1: Gathers customers financial and non-financial information to identify, analyze, and assess

risk tolerance, investment experience and sophistication level

Knowledge of:

• Essential facts regarding customers and customer relationships

• Financial and personal profile of a customer (e.g., age, other investments, financial situation and

needs, tax status, investment objectives, investment experience, investment time horizon, liquidity

needs, risk tolerance)

• Reasonable-basis suitability, customer-specific suitability and quantitative suitability

• Investment strategies and recommendations to hold

FINRA Rules

2010 – Standards of Commercial Honor and Principles of Trade

2090 – Know Your Customer

2111 – Suitability

2111.03 – Recommended Strategies

2111.05 – Components of Suitability Obligations

2.2: Makes suitable investment recommendations based on customers current investment profile,

including financial status, tax status, and investment objectives and explains to customers

how recommended products are structured and priced and the risks associated with the

underlying investments

Knowledge of:

• Investment profile and strategies

• Types of investment returns (e.g., dividends, capital gains, return of capital)

• Securities markets (e.g., exchange markets, over-the-counter (OTC)/negotiated market, new issue

market (e.g., primary offering, role of investment banker))

• Fair dealings with customers and appropriate business conduct (e.g., application, definitions, sales

charges, withhold orders, refund of sales charges, dealer concessions, member compensation,

execution of portfolio transactions, breakpoint sales)

• FINRAs cash and non-cash compensation regulations (e.g., gifts and business entertainment

limits)

• Insider trading and prohibited activities (e.g., churning, front running, switching, commingling,

unauthorized trading, guarantees against losses, selling away)

• Capitalization, pricing, secondary market trading, and redeemability

• Types of underlying securities

° Equity securities: Definitions and features of common stock, preferred stock and other

types of equity securities (e.g., ADRs, rights, and warrants)

° Debt securities: Definitions and features of corporate bonds and other debt securities

(e.g., zero coupon bond, convertible bond, mortgage-backed securities (pass through),

collateralized mortgage obligations (CMOs), asset-backed securities (ABS))

° Options: definition and features

° U.S. Treasury securities (e.g., Treasury bills, notes, and bonds, Separate Trading of

Registered Interest and Principal Securities (STRIPS), and Treasury Inflation

Protection Securities (TIPS))

° U.S. government agencies securities (e.g., Government National Mortgage

Association (GNMA) securities, Federal National Mortgage Association (FNMA)

securities, Federal Home Loan Mortgage Corporation (FHLMC) securities) issuing

agencies and their purposes, risks, payment of interest and principal

° Municipal bonds (General Obligation (GO) bonds, Revenue bonds)

° Other types of debt securities and money market instruments, including but not limited

to: corporate commercial paper, brokered certificates of deposit (CDs) and bankers

acceptances

• Other investment types, including but not limited to: Exchange Traded Funds (ETFs) and hedge

funds

• Variable annuities, deferred variable annuities and variable life (fees and charges, premiums,

riders, investment options, death benefits and payout options)

• Tax considerations

° Mutual fund investor activities, reporting dividend and capital gains distributions to IRS

and state tax agency, tax treatment of securities transactions and realized/unrealized

net capital gains/losses, exchanges as taxable event, shareholders tax basis (e.g.,

offering price, exchange of securities, gift of securities, inheritance of securities,

reinvested dividends and capital gains distributions)

° Determining holding period of securities (e.g., trade date, acquisition, redemption,

wash sale rule)

° Tax treatment of variable annuity contracts (e.g., accumulation period, annuitization

period, 72(t) taxation of annuity payments, withdrawals and surrenders, death benefits,

1035 exchanges)

° Tax treatment of variable life insurance to the policyholder (e.g., during the life of the

policy, upon the death of the insured, upon full or partial surrender of the policy, 1035

exchanges, modified endowment contract (MEC))

FINRA Rules

2000 Series – Duties and Conflicts

2060 – Use of Information Obtained in Fiduciary Capacity

2111 - Suitability

2150 – Improper Use of Customers Securities or Funds; Prohibition Against Guarantees

and Sharing in Accounts

2320 – Variable Contracts of an Insurance Company

2330 – Members Responsibilities Regarding Deferred Variable Annuities

2342 – “Breakpoint” Sales

3220 – Influencing or Rewarding Employees of Others

3240 – Borrowing From or Lending to Customers

NASD Rules

IM-2420-1 — Transactions Between Members and Non-Members

IM-2420-2 — Continuing Commissions Policy

1060(b) – Persons Exempt from Registration

2830 – Investment Company Securities

MSRB Rule

G-19 – Suitability of Recommendations and Transactions; Discretionary Accounts

Securities Exchange Act of 1934

Section 3(a) – Definitions and Application (Definitions of broker, dealer, security,

investment contract)

Section 20A – Liability to Contemporaneous Traders for Insider Trading

Section 21A – Civil Penalties for Insider Trading

Rule 10b-5 – Employment of Manipulative and Deceptive Devices

Securities Act of 1933

Section 2 – Definitions; Promotion of Efficiency, Competition, and Capital Formation

(Definitions of issuer and underwriter)

Investment Company Act of 1940

Section 8(b) — Registration of Investment Companies

Section 11 — Offers of Exchange

Section 12 — Functions and Activities of Investment Companies

Rule 12b-1 — Distribution of Shares by Registered Open-End Management Investment

Company

Section 13 — Changes in Investment Policy

Section 19 — Payments or Distributions

Rule 19a-1 — Written Statement to Accompany Dividend Payments by Management

Companies

Rule 19b-1 — Frequency of Distribution of Capital Gains

Section 22 — Distribution, Redemption, and Repurchase of Redeemable Securities

Rule 22c-1 — Pricing of Redeemable Securities For Distribution, Redemption and

Repurchase

Rule 22d-1 — Exemption From Section 22(d) to Permit Sales of Redeemable Securities at

Prices Which Reflect Sales Loads Set Pursuant to a Schedule

Rule 22d-2 — Exemption From Section 22(d) for Certain Registered Separate Accounts

Rule 22e-1 — Exemption From Section 22(e) During Annuity Payment Period of Variable

Annuity Contracts Participating in Certain Registered Separate Accounts

Section 23 — Distribution and Repurchase of Securities: Closed-End Companies

Section 35 — Unlawful Representations and Names

Section 37 — Larceny and Embezzlement

Insider Trading and Securities Fraud Enforcement Act of 1988

Section 3 - Civil Penalties of Controlling Persons for Illegal Insider Trading by Controlled

Persons

Section 4 - Increases in Criminal Penalties

2.3: Provides appropriate disclosures concerning products, risks, services, costs, fees, current

quotes and explains pricing method

Knowledge of:

• Definitions, characteristics, and concepts of products, types of accounts, and plans

• Price and yield terms (e.g., bid, ask, NAV, premium, par)

• Tax treatment, contributions, accumulation, withdrawals, account ownership, beneficiaries,

benefits, required minimum distributions (RMD), and rollovers and transfers

• Retirement and tax advantaged plans

° Types of individual retirement accounts (e.g., IRAs: traditional, Roth and SEP)

° Employer-sponsored retirement plans (e.g., Simplified Employee Pension Plan (SEP),

Savings Incentive Match Plans for Employees (SIMPLE), IRA and 401(k), 403(b) and

403(b)(7); 501(c)(3), and 457 plans, Employee Retirement Income Security Act

(ERISA)

° Non-qualified deferred compensation

° Education plans (e.g., 529 College Savings Plans, Coverdell Education Savings Plan)

• Open-end investment company

° Fund shares, important factors in comparison of funds, structure and operation (e.g.,

functions of the board of directors, investor advisor, underwriter/distributor, custodian,

and transfer agent), rights of shareholders, exchange privileges within families of

funds, automatic reinvestment of dividend income and capital gains distributions,

systematic purchase and withdrawal plans, performance, dollar cost averaging (DCA)

• Mutual fund

° Types of portfolios and funds (e.g., money market, fixed income, equity, specialized)

° NAV per share, offering price, ex-dividend, share class, SEC Rule 12b-1 distribution

plans, letter of intent, rights of accumulation,

° Fees, charges, and expenses including no load, load (e.g., front-end, back-end),

management fees, 12b-1 fees, administrative expenses, redemption fee, reduced

sales charges/quantity discounts, and breakpoints

• Variable annuity and variable life insurance

° Insurance company separate accounts/general accounts (Exempt under 3a-8 of the

Securities Act of 1933, Investment Company Act of 1940 Section 2(a)(37))

° Valuation of variable annuity contracts (accumulation units, annuitization units,

assumed interest rate (AIR), relationship between AIR and actual rate of return)

° Variable life insurance (fixed and flexible premium types)

° Fees, charges, and expenses including management fees, 12b-1 fees, mortality and

expense charges, administrative expenses, payout or withdrawal plans, conversion

privilege, restrictions, contingent deferred sales charge, and reduced sales

charges/quantity discounts

• Unit Investment Trust (UIT)

• Closed-end fund

° Capitalization, pricing, distribution, redemption restrictions

FINRA Rules

2330 – Members Responsibilities Regarding Deferred Variable Annuities

2330(b) – Recommendation Requirements

2330(e) – Training

Securities Act of 1933

Section 3a-8 – Classes of Securities under this Title

Investment Company Act of 1940

Section 2(a)(37) – General Definitions

Rule 12b-1 – Distribution of Shares by Registered Open-End Management Investment

Company

2.4: Provides explanations to customers regarding how economic events and investment risk

factors may impact investments

Knowledge of:

• Investment risk factors (e.g., call, capital, credit, currency, inflationary, interest rate, liquidity,

market (systematic, non-systematic), social and political, pre-payment, reinvestment, timing)

• Concept of risk/reward and the effects of diversification

• Types of investment strategies

• Sources of market and investment information (e.g., news outlets, internet, rating agencies,

research reports) and economic factors (e.g., inflation, deflation, monetary policy, economic policy)

• The role of the Federal Reserve Board

• Changing interest rates and the effect on money supply, fiscal policy, federal taxation and spending

• International economic factors (e.g., currency exchange rates, balance of trade, gross domestic

product (GDP))



FUNCTION 3 – Opens, maintains, transfers and closes accounts and

retains appropriate account records

3.1: Provides information and disclosures to customers regarding various account types,

characteristics, and restrictions

Knowledge of:

• Account registration types (e.g., individual, JTWROS, UGMA)

• Distribution elections (e.g., cash, reinvestment)

3.2: Obtains and updates customer information and documentation necessary to open, maintain,

and close the account

Knowledge of:

• Customer screening (e.g., Customer Identification Program (CIP), determining whether a customer

is an associated person of another broker-dealer)

• Account authorizations and legal documents (e.g., power of attorney, authorized account user,

discretionary accounts, Transfer on Death (TOD), beneficiary forms)

• Recordkeeping (e.g., retention of customer and firm-related records)

• Customer account record maintenance (e.g., update personal information, holding of customer

mail, sending required SEC Rule 17a-3 notifications)

• Transferring customer accounts between broker-dealers (e.g., Automated Customer Account

Transfer Service (ACATS))

• Account registration changes and internal transfers (e.g., TOD, divorce)

• Delivery of annual reports and notices of corporate actions (e.g., proxy statements)

FINRA Rules

2090 – Know Your Customer

2251 – Forwarding of Proxy and Other Issuer-Related Materials

2267 – Investor Education and Protection

3150 – Holding of Customer Mail

3250 – Designation of Accounts

4510 Series – Books and Records Requirements

11870 – Customer Account Transfer Contracts

NASD Rules

2510 – Discretionary Accounts

Securities Exchange Act of 1934

Rule 17a-3 – Records to Be Made by Certain Exchange Members, Brokers and Dealers

Rule 17a-3(a)(9) – Customer Account Information

Rule 17a-3(a)(17) – Customer Account Records and Updates

Rule 17a-4 – Records to Be Preserved by Certain Exchange Members, Brokers and

Dealers

Rule 17a-4(b)(6) – Records relating to discretionary authority

Rule 17a-8 – Financial Recordkeeping and Reporting of Currency and Foreign

Transactions

Regulation S-P – Privacy of Customer Financial Information and Safeguarding Personal

Information

USA PATRIOT Act

Section 326 – Customer Identification Programs

3.3: Identifies and responds appropriately to suspicious customer account activity for the life of

an account

Knowledge of:

• Anti-Money Laundering (AML) compliance procedures, program, and reporting (e.g., Bank Secrecy

Act (BSA), Office of Foreign Asset Control (OFAC) Specially Designated Nationals (SDN) list,

Currency Transactions Reports (CTRs), Customer Identification Program (CIP), Suspicious Activity

Reports (SARs))

• Circumstances for notifying FinCEN or refusing or restricting activity in an account and/or closing

accounts

FINRA Rule

3310 – Anti-Money Laundering Compliance Program

USA PATRIOT Act

Section 314 – Cooperative Efforts to Deter Money Laundering

Section 352 – Anti-Money Laundering Programs



FUNCTION 4 – Obtains, verifies, and confirms customer purchase and sale

instructions

4.1: Verifies, enters and monitors orders in accordance with customers instructions and

regulatory requirements and reports trade executions to customers

Knowledge of:

• Cash accounts (e.g., prompt payment for securities purchased, extension of time, frozen accounts)

• Market terms (e.g., trade date, settlement date, ex-dividend date)

• Delivery requirements and settlement of transactions

• Trade execution activities (e.g., market timing, late trading, prompt payment for securities

purchased, extension of time, frozen accounts, prohibition on arranging loans for others)

• Information required on an order ticket

• Sharing of referral fees and commissions

• Confirmations and account statements

FINRA Rules

2232 – Customer Confirmations

4510 – Books and Records Requirements

4514 – Authorization Records for Negotiable Instruments Drawn From a Customers

Account

4515 – Approval and Documentation of Changes in Account Name or Designation

5310 – Best Execution and Interpositioning

11860 – COD Orders

NASD Rules

2340 – Customer Account Statements

Securities Exchange Act of 1934

Section 17 – Accounts and Records, Reports, Exams of Exchanges, Members, and

Others

Rule 10b-10 — Confirmation of Transactions

Rule 17a-3(a)(6) and (a)(7) – Order Tickets and Memoranda of Purchases and Sales

Rule 17a-3(a)(19) – Records to Be Made by Certain Exchange Members, Brokers and

Dealers

Federal Reserve Board

Regulation T – Credit by Brokers and Dealers

4.2: Informs the appropriate supervisor and assists in the resolution of trade discrepancies,

possible errors, disputes, and complaints

Knowledge of:

• Customer complaint procedures

• Arbitration procedures

Investigations and sanctions

FINRA Rules

2080 – Obtaining an Order of Expungement of Customer Dispute Information from the

Central Registration Depository (CRD) System

3110 – Supervision

4513 – Records of Written Customer Complaints

4530 – Reporting Requirements

8000 Series – Investigations and Sanctions

9000 Series – Code of Procedure

12000 Series – Code of Arbitration Procedure for Customer Disputes

13000 Series – Code of Arbitration Procedure for Industry Disputes

14000 Series – Mediation Ground Rules




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