INFORMATIONAL
Continuing Education
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Legal & Compliance
Registration
Senior Management
Continuing Education
Firm Element
Executive Summary
The Securities Industry/
What does it mean for something to be tax-advantaged, pre-tax or tax-deferred? Learn how these terms apply to different benefits and investments, including retirement accounts and health care benefits, and how to maximize your tax savings.
Please note: The following information is intended to provide a general overview of the permitted activities of various registration categories, but it is not an exhaustive list. Please refer to Regulatory Notice 17-30, FINRA Rule 1220 and, regarding retired exam categories, NASD Rule 1032 for further details.
Series 6 - Investment Company Products/Variable Contracts Limited Representative
GUIDANCE
Qualification Examinations
Implementation Date: November 30, 2005
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Training
Limited Principal—General Securities Sales Supervisor (Series 9/10)
Limited Principal—Registered Options (Series 4)
Limited Representative—Investment Company and Variable Contracts Products (Series 6)Rule 1022(f)Rule 1022(g)Rule 1032
INFORMATIONAL
Municipal Fund Securities
SUGGESTED ROUTING
KEY TOPICS
Executive RepresentativesInstitutionalLegal & ComplianceOptionsSenior Management
Investment CompaniesMunicipal Fund Securities/529 PlansSales Material
Executive Summary
NASD recognizes that the market for municipal fund securities, particularly Section 529 college savings plan securities, continues to evolve
The Fund Analyzer offers information on over 30,000 mutual funds, Exchange Traded Funds (ETFs), and Exchange Traded Notes (ETNs).
Expecting a tax refund? Here are six smart ways you can use that cash to jumpstart your finances.
Washington, DC—A new national survey shows American investors have significant and widespread anxiety about the security of their investments, particularly as it relates to their retirement savings. More investors report that they are anxious about losing money on their investments (78 percent) and saving for retirement (73 percent) than are anxious about losing their job (50 percent), buying a
This list of Frequently Asked Questions covers topics such as Rights of Accumulation (ROA) and Letters of Intent (LOI), as well as resources to help you educate your clients.
Each year, FINRA publishes its Annual Regulatory and Examination Priorities Letter to highlight issues of importance to FINRA's regulatory programs.
