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02-02 Effective Date For New Series 6 Program Regulatory Element (S106) For Investment Representatives

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Continuing Education



Continuing Education
Legal & Compliance
Registration Department
Senior Management

Regulatory Element
Series 6 Program

Executive Summary

This NASD Notice to Members announces that Monday, January 14, 2002, is the effective date that the new Series 6 Program Regulatory Element (S106) for Investment Representatives will begin to be delivered at Sylvan/Prometric Centers in North America, VUE Centers outside North America, and at member firms participating in In-Firm Delivery of the Regulatory Element (see NASD Notice to Members 01-14, February 2001). This means that any Series 6-registered person who takes the Regulatory Element on or after January 14, 2002, will participate in the S106 Program instead of the S101 General Program. All Supervisors/Principals will continue to take the Supervisor's Program (S201). All other registration categories will continue to take the General Program (S101).

As announced previously in NASD Notice to Members 01-71, November 2001, the S106 will differ in three respects from the existing General Program (S101):

1) The Series 6 Program will feature audio in addition to text on screen.
2) Module 7 of the Series 6 Program—Application Of Product Knowledge To Sales Practice—replaces New and Secondary Offerings, Module 7 of the General Program.
3) The scenarios in all seven modules of the S106 will only deal with mutual funds or variable contracts.

There is a combined Content Outline for both the S101 and S106 Programs, which may be found in NASD Notice to Members 01-71, or viewed or downloaded from, the Securities Industry/Regulatory Council on Continuing Education Web Site.

Questions/Further Information

Questions about this Notice should be directed to John Linnehan, Director, Continuing Education, NASD Regulation, at (240) 386-4684; or Heather Bevans, Continuing Education Communications Coordinator, NASD Regulation, at (240) 386-4685.

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