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Exam Number : Series6
Exam Name : NASD Series 6
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Series6 exam Format | Series6 Course Contents | Series6 Course Outline | Series6 exam Syllabus | Series6 exam Objectives


The Series 6 Examination is the Investment Company and Variable Contracts Products Representative Qualification Examination. 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 Examination (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. trial 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 Examination 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 Examination 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. Examination 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. Examination 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 Exam Center administrator at the end of the testing session. Some test questions involve calculations. Only calculators provided by the Exam 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 Examinations and Waiver of Requirements
1080 – Confidentiality of Examinations
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, Examinations 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 real 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, Examinations 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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10 issues To bear in mind When Leveraging QR Codes For company | Series6 boot camp and Latest Questions

QR codes have several merits to present organizations in practically any industry. whether you're a restaurant using them for menus, a retail keep the usage of them for promotional applications or a media company the use of them to direct patrons to your site or app down load, they can prevent money on advertising substances and streamline communique.Β 

however, there are "incorrect" easy methods to use QR codes, so be sure to keep in mind the most constructive applications for them earlier than you waste time and power setting them up in useless. below, 10 individuals of Forbes enterprise Council weigh in to share essentially the most essential issues they believe that every entrepreneur may still keep in mind when they're getting to know to navigate leveraging QR codes for their company.Β 

Forbes company Council member offer guidance for leaders due to the fact that leveraging QR codes of their enterprise.

pictures courtesy of the individual individuals.

1. take into account They might not Work For everyone

QR codes are brief and simple to use, besides the fact that children, the entrepreneur must keep in mind that they may no longer work for all types of shoppers. Older clients that aren't that tech-savvy and that are used to creating money transactions may also have difficulty adopting QR codes. it be at all times quality to have a backup plan simply in case. - Sameer Sharma, S. Sharma Tax, Inc.

2. remember That QR Codes Are in basic terms A set off

manufacturers have to bear in mind that QR codes are basically a set off that leads to an adventure. The latter is where companies deserve to focus and where they could basically join with shoppers. Slapping on a QR code that drives to your web page's homepage is a terrible experience. consider of the supplemental digital adventure that is contextually tied to the physical product. that is where the magic happens. - Matt Maher, M7 innovations

Forbes business Council is the most excellent increase and networking company for company house owners and leaders. Do I qualify?

3. personalize Your QR Codes For Branding

With the upward push within the popularity of QR codes from the pandemic, there was an emergence of third-birthday celebration groups that enable for QR code customization. The colorings and patterns of the QR code may also be personalized to stand out, and corporations may embed their logo in the QR to make them mix in to be greater cohesive within the manufacturer's marketing. - Ross Franklin, Pure eco-friendly Franchise

four. ensure QR Codes Are An active marketing element

change QR codes from static single-use to an lively a part of marketing conversation. constantly replace the QR’s touchdown page to share particular presents and bargain codes, then use a delivery method this is saved and visible: promotional items. Imprinting the QR code on mugs, journals, bags and power banks gives recipients incentive to hold the item while reminding them to use the QR to achieve advantages. - Valerie Hayman Sklar, corporate Specialties LLC

5. look at various Placement In precise-World conditionsΒ 

fastidiously test the implementation of a QR code placement with true-world conditions earlier than launch. This comprises low mild, nighttime, high glare, as well as practical distances from which a client would snap them. as an example, at one in all their outlets, they positioned a QR code within the window to prefer a nearby busy force-through. To look at various, you ought to get to your vehicle and snap from the queue. QR works if it works. - Mark Van Wye, Zoom Room

6. ensure americans recognize a way to read And Scan Them

QR codes assist entrepreneurs guide buyers to at any place they need them to be for the most effective chance of conversion. As a former Chief suggestions Officer and now a CMO, I assisted a transport company to stardom with QR codes with a symbol in the core lower back in 2009. just bear in mind to determine that the hyperlink works and that people understand the way to examine and scan codes. The brand is a extremely best touch! - Olivia Friedman, Institute of bigger global reviews

7. comprehend Your know-how And teach Your users

know your know-how and educate your users. while the QR code may still be without difficulty visible, a simple line under that clients should still open their mobile digital camera app to follow through to the associated goal goes an extended way. modern smartphone digicam apps actively establish QR codes, but your viewers (younger and old) might also not recognize that, so them! - Alex Argianas, Arginias & acquaintances

eight. Use Them To drive patrons the place You desire Them

For restaurants, QR codes breathed lifestyles into contactless menus, ordering and funds. consumers have turn into savvy with them, which means agencies should still, too. the rest your internet or app presents, your QR code can factor to. Use them to power consumers the place you need them. Have a technique. Analyze the facts. increase the adventure with each and every use case. QR codes will also be online game-changers. They’re small, however mighty! - Angela Diffly, Restaurant know-how community

9. keep in mind Of extended risk Of Cyber attacks

Entrepreneurs would be smart to consider of the ease of cyber assaults by means of QR codes. Being privy to the expanding threats to a business’s every entry point should be taken severely. Are they seeking to leverage their business appropriately with the QR code or is there a greater prudent technique to aid this function and restrict publicity to the enterprise? Being strategic with the QR code concerns. - Paul L. Gunn, KUOG service provider

10. Use higher Font And comply with Up

larger font and constant comply with-up are vital. If QR codes come with zero clarification, the consumer gets perplexed. Add that one line of clarity. standard steps go a protracted manner. When unsure, overcommunicate the next steps. - Beth Jannery, Titan Strategic conversation




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