Proposed Rule Change to Extend the Tier Size Pilot of FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)
Testimony of Chairman and CEO, Richard Ketchum, Before the Subcommittee on Capital Markets and Government Sponsored Enterprises Committee on Financial Services
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
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 and FINRA Rule 1220 for further details.
Series 4 - Registered Options Principal Examination (OP)
Covered activities include supervising a member's options
2015 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
