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.
Title | Format - Size | Status |
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Text of Proposed Rule Change | PDF - 116.01 KB | |
Notice of Filing and Immediate Effectiveness | PDF - 21.9 KB |