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SEC: Proposed FINRA Rule Change to Revise the Series 6 Examination Program (Immediately Effective)

The SEC released notification of an immediately effective FINRA filing which revises the content outline and selection specifications for the Investment Company and Variable Contracts Products Representative (Series 6) examination program. The SEC is soliciting comments which should be submitted on or before 21 days from publication in the Federal Register. We previously reported this FINRA rule filing on October 16, 2013.

See: SEC Notice.See also: Text of Proposed Rule Change.

Tags

Regulated Activities
Employee Matters Supervision / Compliance
Sub-Activity
Qualifications, NFA Self- Examination and Other Questionnaires
Regulated Entities
Adviser / CTA / CPO Broker-Dealers
Jurisdiction
US - Federal