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Series6 test Format | Series6 Course Contents | Series6 Course Outline | Series6 test Syllabus | Series6 test 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 subjects 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 test 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 test 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
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
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
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
• Networking arrangements
• Regulations related to marketing/prospecting
• Initial privacy disclosures to customers (e.g., definitions, privacy and opt-out notices, disclosure
limitations, exceptions)
2020 – Use of Manipulative, Deceptive, or other Fraudulent Devices
2266 – SIPC Information
2420 – Dealing with Non-Members
Securities Exchange Act of 1934
Section 3(a)(4)(B) – Definitions and Application, Broker (Exception for Certain Bank
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
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
2210 – Communications with the Public
IM-2210-2 – Communications with the Public About Variable Life Insurance and Variable
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
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
• 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
• Other investment types, including but not limited to: Exchange Traded Funds (ETFs) and hedge
• 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))
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
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
Section 13 — Changes in Investment Policy
Section 19 — Payments or Distributions
Rule 19a-1 — Written Statement to Accompany Dividend Payments by Management
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
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
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
° 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
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
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)
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
Rule 17a-4(b)(6) – Records relating to discretionary authority
Rule 17a-8 – Financial Recordkeeping and Reporting of Currency and Foreign
Regulation S-P – Privacy of Customer Financial Information and Safeguarding Personal
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
3310 – Anti-Money Laundering Compliance Program
Section 314 – Cooperative Efforts to Deter Money Laundering
Section 352 – Anti-Money Laundering Programs

FUNCTION 4 – Obtains, verifies, and confirms customer purchase and sale
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
2232 – Customer Confirmations
4510 – Books and Records Requirements
4514 – Authorization Records for Negotiable Instruments Drawn From a Customers
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
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
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
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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The truth behind Penny inventory spam | Series6 Cheatsheet and PDF Braindumps

Promoters of penny stocks usually pitch these excessive-risk investments as in the event that they had been positive real property, like oceanfront property. With little funds down, you can make a brief-and-easy profit. however basically, penny stocks are extra like swampland. And now, due to junk mail, the muck is spreading at an alarming rate, and efforts to cease it have to date been as useful as ordering the tide now not to are available.

You likely trashed an e mail message remaining December touting Goldmark Industries. A junk mail crusade estimated that investors would earn unbelievable returns. One e-mail, which forecast the inventory would gain 1,077%, referred to, "Watch GDKI [Goldmark's symbol] bounce on Wednesday, Dec. 20!"

probably you failed to chew, but many others did. On December 19, the day earlier than the spam campaign all started, Goldmark closed at 17 cents a share. 9 days later, when the junk mail barrage ended, the stock closed at 35 cents. those that held the inventory before the e-mail crusade doubled their cash. buyers who purchased at the properly misplaced their shirts. The inventory closed at 6 cents in mid April.

in case you feel we're speaking about chump exchange, believe again. The Securities and exchange fee says spam campaigns promotion Goldmark and 34 other shares that the company lately suspended from trading for ten days robbed traders of tens of tens of millions of greenbacks. and people 35 are just a number of acres of the swamp. The SEC estimates that one hundred million inventory-junk mail messages are sent each day. Postini, an e-mail-safety enterprise, says the volume of spam that hypes shares has grown 120% during the past six months, and that about one-fifth of all unsolicited mail is inventory-related. (On April 13, the SEC suspended buying and selling on three more penny shares that it suspected have been being manipulated through unsolicited mail campaigns.)

spam attacks

Spammers on no account let records get within the manner. Take an email about Goldmark despatched ultimate October, earlier than the campaign stated by means of the SEC. The note claimed that Goldmark, which says it produces and distributes hip-hop music, films and television suggests, had struck a cope with rap impresario Sean "Diddy" Combs. A Combs representative says the declare become fiction. not one of the establishments whose stocks had been suspended, together with Goldmark, well known involvement within the unsolicited mail campaigns.

people at the back of these campaigns have a huge part over people that buy on the hype: They be aware of when the spam will conclusion. A neatly-executed unsolicited mail assault can produce triple-digit gains in a count number of days. on account of a December junk mail campaign, for instance, the stock of attire Manufacturing acquaintances rose from 6 cents to 45 cents in only 5 days. It changed into among the stocks later suspended by means of the SEC.

almost all stock junk mail is unlawful. it is as a result of these e-mails violate the Securities Act of 1933, which, amongst different things, bars paid promoters from touting stocks without disclosing the details of their compensation. junk mail that would not allow you to opt out of the e-mail checklist (and most inventory spam doesn't) additionally violates the 2003 CAN-spam Act, as well as state anti-junk mail laws.

You may additionally have seen that your junk mail blocker is letting extra stock touts via. that is because spammers have develop into greater refined. The e-mails you open look regular, but many messages are within the sort of digital photographs that junk mail filters cannot read. And spammers stay away from detection through the use of desktop viruses to infect sizeable networks of computer systems, which then disseminate tens of millions of e-mails.

inventory spam would wither with out a in shape provide of junk-business shares, of which there isn't any shortage in the U.S. each one of these low cost, thinly traded shares are found on the crimson Sheets and the OTC Bulletin Board. NASD, the self-regulatory body of the brokerage industry, runs the OTCBB, and shares quoted by way of this carrier should register with the SEC. That cuts down -- however would not dispose of -- the number of shares that may also be manipulated. The red Sheets, a private business, permits shares that don't file with the SEC to be listed on its provider.

NASD may not project a wager on the number of OTCBB stocks concerned in penny-inventory unsolicited mail. Cromwell Coulson, chief executive of the purple Sheets, estimates that 10% of the more than four,800 stocks that exchange on his service are easy marks for spammers because the groups provide little or no fiscal counsel. The pink Sheets has stopped quoting prices for the 35 shares the SEC suspended as well as shares of more than 300 agencies about which the business has got junk mail-connected complaints from traders.

Draining the swamp

Suspending trading may additionally support drain the swamp -- despite the fact how helpful the tactic is is still to be viewed. other methods of dealing with the surfeit of stock spam are shutting down or prosecuting promoters, instructing buyers, and flagging stocks which are ripe for manipulation.

besides the fact that children illegal electronic mail touts are often untraceable, other markets have developed methods of forestalling criminals from pumping up share costs. as an instance, the free-wheeling Vancouver stock alternate became lengthy home to many penny stocks that have been area to "pump and dump" schemes. but in the late Nineteen Nineties, Canadian regulators started requiring executives and promoters of small-business shares to register their promotional activities and post to heritage assessments.

subsequently, Canada eliminated essentially the most egregious penny-stock scams, says Martin Eady, director of corporate finance at the British Columbia Securities commission. Regulators crack down tough against those that violate the rules. In November 2005, for instance, the fee suspended Ray Dabney, president of Xraymedia, after he admitted to sending out 22 false news releases about the business. a couple of Xraymedia directors serve on Goldmark's board, and both companies share the same Vancouver tackle, in response to filings with the pink Sheets. Xraymedia was the subject of a 2003 spam campaign, in accordance with, a web website that tracks penny-inventory junk mail. Shares of Xraymedia are quoted on the crimson Sheets. besides the fact that children barred from the red Sheets, Goldmark shares may also nevertheless exchange if a broker is inclined to promote them to buyers (few are).

because markets north of the border are unfriendly to stock scammers, they focal point their efforts on Canadian groups that exchange within the U.S., the place they face fewer restrictions, says the purple Sheets' Coulson. Eady estimates that greater than 660 businesses from British Columbia are quoted on the OTCBB and the red Sheets however don't alternate on a Canadian alternate. Canadian regulators are in view that even more challenging measures to restrain their home-grown stock scammers, Eady says, even though most traders ripped off by using their junk mail live in the U.S.

no longer all unsolicited mail contains Canadian groups. Coulson believes that agencies of scammers based in Florida, Nevada and Texas hype many U.S.-based mostly businesses that are the subjects of pump-and-dump campaigns.

As a realistic be counted, prosecuting spammers is rarely convenient. For a promoter's claims to run afoul of the SEC, the legislation states that a "reasonable" adult would need to agree with a touter's claims are genuine, says Donald Langevoort, a Georgetown institution law professor and a former SEC particular information. but because most not pricey americans would not agree with the claims, the law doesn't view lots of these assertions as unlawful, he says. The SEC says it is aware of who orchestrated the junk mail campaigns in the back of one of the vital 35 stocks it in brief suspended. but as of mid April, the fee hadn't lodged complaints towards any of the perpetrators.

What's necessary subsequent

The premiere technique to provide protection to buyers is to hold reminding them of the dangers of appearing on e-mail touts. during the last three years, NASD has issued six indicators about stock spam on its web web page, but the gullible proceed to be taken in. "most effective investor schooling can have a true impact," says Langevoort.


it be legal, but so what?

not all touting of penny shares is illegal. Jonathan Lebed runs a felony tout enterprise. On February 5, he signed a contract to promote the inventory of mPhase applied sciences, receiving 400,000 shares as compensation. In return, he sent out dozens of e-mail messages to his hundreds of readers. A February eight e-mail said mPhase inventory "is going to the MOON and NOTHING will hold it returned!!!!!!!!!!!!!!"

Hyperbolic e-mails of this form basically create a self-gratifying prophecy. in this case, mPhase shares, which alternate on the OTC Bulletin Board beneath the image XDSL.OB, rose from 16 cents at the start of the crusade to 27 cents in barely 11 days. In mid April, the inventory traded at 15 cents.

As a teenager, Lebed gained notoriety because the youngest adult ever prosecuted by means of the Securities and trade commission. The SEC accused him of racking up hundreds of heaps of dollars in earnings by way of traveling information superhighway chat rooms and talking up "micro cap" stocks he owned. Lebed negotiated a contract by which he did not admit wrongdoing however agreed to forfeit $285,000 in earnings plus hobby. Now 22, he says he desires to support good organizations locate investors. His service reaches 5,000 americans who have signed up for his e-mails. every e mail discloses the stock and money funds he receives on behalf of a "third party." that is all he should do to dwell prison.

There could be a better answer than schooling: opting for shares which are ripe for manipulation. Coulson plans to label crimson Sheets stocks suspected of being concerned in pump-and-dump schemes with a cranium-and-crossbones on the red Sheets net site. He has also proposed that the SEC require extra suggestions about promoters who legally tout shares. An SEC spokesman says the company is reviewing Coulson's idea but adds that the commission does not have the energy to impose Canadian-trend suggestions with out congressional action. Congress hasn't regarded any legislation to restrict penny-stock spam or restrict stock promoters.

in the meantime, inventory spammers mock efforts to impede them. On March eleven, most effective three days after the SEC introduced its crackdown, a flood of junk mail touted United Environmental energy (UTEV) as a "scorching NEW SEC accredited stock on your attention!" The spam asserted that United become now not a "Pump&Dump" stock. Over the subsequent four days, the shares rose from 5 cents to 40 cents, then right now fell to 10 cents. The castle Lauderdale, Fla., company, which does not file fiscal statements with the SEC, says it turned into no longer involved within the spam campaign.

Calculated chance: a safe method to penny stocks

Penny stocks get the greed glands going -- with good motive. it be lots more convenient for a ten-cent stock to double or triple in no time than it is for a $100 stock, in spite of the fact that cost, by using itself, is not a measure of value. however penny stocks -- described through the Securities and alternate commission as people that don't change on Nasdaq or on an alternate and sell for less than $5 -- are generally a long way riskier than higher-priced stocks. when you are nonetheless tempted by way of competitively priced shares, here are many ways that you can stay away from being ripped off.

search for the financials. Tiny agencies do not need to file audited fiscal reports with the SEC. If an organization you might be attracted to does not file, dwell away. fiscal records for many penny shares touted in e-mails is both crummy or nonexistent.

verify the market value. now not all cost-efficient stocks are small businesses. If a company's market price (share expense times shares brilliant) is $50 million or more, likelihood is it's legit. among the shares recently recommended through the Turnaround Letter, a newsletter with a superior stock-selecting listing, five traded in mid April for under $5 however sported market capitalizations of $218 million and up. The best regularly occurring: Gateway, the desktop maker, with annual sales of $4 billion and a market price of $848 million. It traded at $2.23.

do not wager the ranch. Use only a small component of your cash to dabble in penny stocks and purchase simplest in case you can come up with the money for to lose one hundred% of your funding.

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