Exam Code: Series6 Practice exam 2023 by Killexams.com team
Series6 NASD Series 6

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 syllabus 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. demo 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 Test Center administrator at the end of the testing session. Some test questions involve calculations. Only calculators provided by the Test 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
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

NASD Series 6
Business-Tests Series information
Killexams : Business-Tests Series information - BingNews https://killexams.com/pass4sure/exam-detail/Series6 Search results Killexams : Business-Tests Series information - BingNews https://killexams.com/pass4sure/exam-detail/Series6 https://killexams.com/exam_list/Business-Tests Killexams : Windies arrive for Test Series

The Herald

Brandon Moyo Bulawayo Bureau

THE West Indies arrived in Bulawayo on Monday where they will play two Test cricket matches against Zimbabwe at Queens Sports Club early next month.

The Windies touched down at the Joshua Mqabuko Nkomo International Airport late on Monday afternoon and wrote on their Twitter page, “Tasvika muZimbabwe.”

It is the Caribbean side’s first Test visit to Zimbabwe since 2017 where they also played two matches at the same venue.

Led by Kraigg Braithwaite, the Windies side arrived in Zimbabwe with legend Brian Lara, who will be part of the team’s technical side. His exact role is, however, not yet confirmed.

The two matches are scheduled for February 4-8 and February 12-16. Before the two Tests, the visitors will play a warm-up match against Zimbabwe A at Bulawayo Athletic Club (BAC) starting this coming Saturday.

With Lara joining the team, the last time he was with the Windies in Zimbabwe was in 2003/04 season where he scored 191 runs off 203 deliveries in a match that they won by 128 runs in Bulawayo to go on and take the series 2-1.

Experienced fast bowler Shannon Gabriel has been recalled back to the side having missed a number of Test matches.

Gabriel is looking at playing his first Test in over a year after being recalled for West Indies’ Test squad to tour Zimbabwe. Spinners Jomel Warrican and Gudakesh Motie will also come back into contention after being included in the 15-man party.

Gabriel (34) last featured in the Test side in Sri Lanka in November 2021. He was subsequently sidelined by a hamstring injury, and spent much of last year working to regain fitness; he had a spell in county cricket with Yorkshire in England and finished joint-leading wicket-taker in the Super50 Cup but was overlooked for West Indies’ Test tour of Australia.

However, with Jayden Seales rehabilitating after knee surgery, Gabriel could be reunited with Kemar Roach and Jason Holder in the West Indies seam attack.

Warrican also played the last of his 13 Tests in Sri Lanka in 2021, while Motie could add to the sole cap he won against Bangladesh in June last year. West Indies were hit by numerous injuries during their 2-0 defeat in Australia, and have omitted Shamarh Brooks, Anderson Phillip and Marquino Mindley, all of whom played in the second Test in Adelaide. For the Windies, it will be the beginning of their international calendar for 2023 and they will be hoping to get off on a positive note.

“This is the start of the international calendar for 2023 and we will hope to start with a win. We appreciate it won’t be an easy assignment as Zimbabwe, like most other teams in world cricket, play very well on their home soil on pitches that will support their style of play.

“We looked at the conditions we anticipate playing in, and have included two left-arm spinners who didn’t go to Australia in Motie and Warrican. With our fast bowlers, Jayden Seales has done extremely well for us since he started back in 2021, but with him unavailable we have decided that Gabriel would be best able to fill that role. He (Gabriel) is an experienced bowler who has been at the international level for over 10 years and has knowledge of the conditions in Zimbabwe when we won there in 2017,” said Cricket West Indies lead selector Desmond Haynes.

In 2017, West Indies won the two-match series 1-0, winning the first contest by 117 runs with the second five-day contest ending in a draw.

The two-Test series against Zimbabwe, which begins in Bulawayo on February 4, will be overseen by interim coach Andre Coley, following Phil Simmons’ decision to step down.

West Indies Test squad:

Kraigg Brathwaite (capt), Jermaine Blackwood, Nkrumah Bonner, Tagenarine Chanderpaul, Roston Chase, Joshua Da Silva, Shannon Gabriel, Jason Holder, Alzarri Joseph, Kyle Mayers, Gudakesh Motie, Raymon Reifer, Kemar Roach, Devon Thomas, Jomel Warrican

Tue, 24 Jan 2023 11:40:00 -0600 en-GB text/html https://www.herald.co.zw/windies-arrive-for-test-series/
Killexams : Kyle Jamieson returns for Test series against England
Fast-bowling allrounder Kyle Jamieson makes a comeback to New Zealand's squad for the two-Test series against England at home in February. It is the first time Jamieson has been selected since he injured his back on the tour of England in June last year.

Jamieson returned to New Zealand's domestic cricket circuit only in January this year, and at the time of his selection in the Test squad, he had played two matches each in the Ford Trophy and Super Smash for Auckland.

"Kyle is a very determined character with a strong desire to play international cricket for New Zealand," head coach Gary Stead said. "Since he was forced from the field in Nottingham he's been very clear that he wants to get his body right to return.

"He's reported good progress since his return to professional cricket with Auckland and he will get the opportunity to play some long-form cricket as part of the New Zealand XI squad to face England in their warm-up match next week at Seddon Park."

Legspinner Ish Sodhi also kept his place in the 14-man squad after impressive returns in the two-match series in Pakistan in December-January, which was his first Test series since 2018. Sodhi took 13 wickets in the two matches, and also scored a half-century.

"Ish really impressed us with his approach with bat and ball," Stead said. "He's worked very hard on both in exact years and it was great to see that on the international Test stage."

Offspinning-allrounder Michael Bracewell is the second spin option in the squad, while left-armer Ajaz Patel and batter Glenn Phillips were the omissions from the group that travelled to Pakistan. Wicketkeeper Tom Blundell and fast bowler Matt Henry are expected to recover from injuries sustained in Pakistan by the time the squad assembles in Tauranga on February 12.

The first Test against England from February 16 to 20 will be a day-night contest at the Bay Oval, after which the teams will travel to Wellington for the second Test at the Basin Reserve from February 24-28.

The series will be Tim Southee's first as full-time Test captain on home soil. He took over from Kane Williamson just before the tour of Pakistan. Trent Boult, who had given up his central contract, was not selected, though New Zealand's selection manager Gavin Larsen hoped the left-arm quick would play the ODI World Cup in India in October-November.
Thu, 02 Feb 2023 04:10:00 -0600 text/html https://www.espncricinfo.com/story/kyle-jamieson-returns-for-new-zealands-test-series-against-england-1357054
Killexams : Organizational test allows Xfinity Series drivers to adjust, acclimate and prepare

CONCORD, N.C. — The sights and sounds surrounding Charlotte Motor Speedway Monday morning, afternoon and evening brought that all-too-familiar feeling. It’s the feel of a looming NASCAR season, and, in particular, the dawn of getting back into a routine. Such was the case for NASCAR Xfinity Series drivers on Jan. 30.

The driver practice sessions around the 1.5-mile track served another purpose, too. More specifically, a mechanical one — competition officials changed the rear-end housing on Xfinity cars to eliminate skew. A skew that creates “crabbing” can lead to cars running at an angle that gives the illusion the car is moving diagonally.

RELATED: 2023 Xfinity schedule | 2023 Truck schedule

Sammy Smith, who will drive full-time behind the wheel of the No. 18 Joe Gibbs Racing Toyota in 2023, discussed his initial thoughts following the test. Over a nine-race run in the circuit last season, Smith finished his Xfinity campaign with one top-five and three top-10 finishes.

“Honestly, right now, we are kind of running through some stuff with what they want to do package-wise,” Smith said. “So, you can‘t feel it a ton, just because they‘ve compensated so much for what they‘ve taken away from skews, so you can definitely feel a little bit on entry, but obviously, the teams are good enough to work around that.”

As part-time driver of the No. 24 Sam Hunt Racing Toyota, Connor Mosack had the opportunity to not only get a feel for the changes but additionally, compare his car to others on a 1.5-mile oval. Mosack raced on two road courses during the 2022 Xfinity season (Portland International Raceway and Watkins Glen International).

One main objective was finding value in seeing how his car can handle all facets.

“We’ve got a competitive car,” Mosack said. “We‘re right there with the JGR cars, and we‘re on similar tire strategies, so I think the car is more than capable of helping me learn, and we can be competitive in it.”

After his first full-time season in the Xfinity Series last year, Austin Hill offered technical differences during the test run, including the difference in throttling and corner entry.

“As I get into the cross center of the corner, I feel like last year I could kind of like lean into the right rear tire a little bit more and kind of yaw it out and be able to pick up throttle and drive off the right rear,” Hill said. “So far in the test this year, as I pick up throttle, it kind of just gets the right rear out of the race track and kind of loses lateral grip. I just don‘t feel like I have that stability to kind of lean on the right rear tires.

“I guess that‘s my biggest takeaway right now, but like I said, we‘re trying a lot of different things. There‘s a lot of stuff that we have on our test plan that we just kind of work out.”

MORE: Full schedule for Speedweeks and Daytona 500

Despite Mother Nature being an initial hindrance to Monday’s session, drivers found importance in getting lengthy practice runs in before the season.

“It‘s huge,” Mosack said. “I think there‘s only a few races we get a full hour of practice, which still isn‘t much, especially at a track I haven‘t been to before, so taking advantage of something like this and getting as many laps as I can is a huge help.”

“You can try different things as a driver,” Hill said. “This race track, in particular, I kind of struggle at, so there‘s things that I‘ve been trying as I go out on the race track, and you got all the data to kind of go back and look at and see, ‘All right, with that lap I was driving in deeper, and that‘s kind of probably why I was getting really tight across the middle,‘ or, ‘Maybe that lap I shallowed up my entry, and that‘s why I kind of got tight across the middle or got loose on entry because I tried to lift early,‘ or whatever the case may be. So, there‘s just a lot of data you can kind of go back and look at and just try to learn from, and I think that‘s gonna help us better going into the season.”

Mon, 30 Jan 2023 08:53:00 -0600 en-US text/html https://sports.yahoo.com/organizational-test-allows-xfinity-series-170840853.html
Killexams : "No One Can Replace...": Ex Australia Skipper's Verdict On Rishabh Pant's Absence In Test Series

Rishabh Pant will miss the Test series against Australia due to injury© AFP

Former Australian cricket team skipper Ian Chappell believes that India may find it difficult to score freely in the upcoming Border-Gavaskar Test series due to the absence of Rishabh Pant. Pant was one of the top performers for India when they defeated Australia back in 2021 and it is mainly due to his aggressive gameplay against the pacers. However, the wicket-keeper batsman will not be available for the series starting on February 9 after he was injured in a road accident. In his absence, KS Bharat is expected to keep wickets for the hosts while Ishan Kishan was included in the squad as a back-up.

"India also have some points to prove, not the least to do with how Pant's replacement performs. The main thing India will lose from Pant's unavailability is an excellent run rate, which came from his belligerent aggression. No one can replace Pant's desire to dominate bowlers, so India have to rely on their top batters not only performing but also maintaining a good strike rate," Chappell wrote in his column for ESPNCricinfo.

The Indian pitches are traditionally quite helpful to spinners and Chappell wrote that it will be extremely important for the top Indian batters to stop Nathan Lyon from picking up wickets at regular intervals.

“One of the main tasks for Indian players like Rohit Sharma, Virat Kohli and Cheteshwar Pujara will be to establish mental superiority over Lyon. If Australia can't rely on Lyon claiming regular wickets at an acceptable rate, their bowling will then depend greatly on the "big three,” he explained.

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Fri, 10 Feb 2023 06:09:00 -0600 text/html https://sports.ndtv.com/india-vs-australia-2023/no-one-can-replace-ex-australia-skippers-verdict-on-rishabh-pants-absence-in-test-series-3733479
Killexams : Ahead Of Test Series, Virat, Anushka On Spiritual Break In Rishikesh

RISHIKESH, (ANI) – Ahead of India’s Test series against Australia, cricketer Virat Kohli and his wife Anushka Sharma embarked on a spiritual trip to Rishikesh.

The couple paid a visit to Swami Dayanand Giri Ashram.

Several pictures went viral in which the two were seen worshipping at the ashram. Virat also obliged other devotees with selfie requests at the ashram. Their visit to Rishikesh comes days after the duo along with their daughter Vamik sought blessings at an ashram in Vrindavan.

Australia is set to tour India in the coming few days for a four-game Test series. The series, popularly known as the Border Gavaskar Trophy 2023, will be essential in determining the top two spots in the World Test Championship. The top teams will earn a playoff position for the one-off championship game at The Oval in June.

The series will begin on 9th February in Nagpur while the ODIs will kickstart on March 17 in Mumbai.

Tue, 31 Jan 2023 04:43:00 -0600 en-US text/html https://indiawest.com/ahead-of-test-series-virat-anushka-on-spiritual-break-in-rishikesh/
Killexams : Australia get 'Ashwin duplicate' to train ahead of Test series against India BENGALURU: Australia have roped in Maheesh Pithiya, a 21-year-old spinner with uncanny resemblance to Ravichandran Ashwin, to train on spin-friendly tracks as part of their preparation for the upcoming Test series against India.
Off-spinner Ashwin may prove to be a major threat for Australia, who haven't won a Test series in India since 2004.
Expecting spin to play a major role in the four-Test series, the visitors have opted for tailor-made pitches and have availed the services of Pithiya to get accustomed to the action of Ashwin.
The four-Test series begins in Nagpur on February 9.
"Of all the stops Australia have pulled out to prepare for their trip to India, the most noticeable at their Test tour's first training session was the presence of a Ravichandran Ashwin duplicate," a report in cricket.com.au said.
"With facing spin the major focus on Thursday, Pithiya was the standout among the local 'netties', bowling tirelessly and virtually without break through the day as he troubled the likes of Smith, Marnus Labuschagne and Travis Head, who all had long batting sessions."
Pithiya, interestingly, didn't see Ashwin bowl until the age of 11. Growing up in Junagadh, Gujarat he didn't have access to TV and when he finally watched the India ace in action against the West Indies in 2013, he started idolising him.
The youngster, who made his first-class debut in December for Baroda, was flown in for the four-day training camp at the KSCA Ground in nearby Alur by Australia after seeing his footages in social media.
It was Pritesh Joshi -- one of the bowlers giving throw downs to the Australian batters with the 'side-arm' aid -- who first brought Pithiya to the attention of assistant coach Andre Borovec.
He also arranged for Mehrotra Shashank, a left-arm spinner who played first-class cricket for Hyderabad, to attend the camp.
"While no spinner in the world can perfectly mimic the challenge Ashwin will pose in this series, facing Pithiya over the coming days will at least help the Australians come to terms with the visual cues of the world's top-ranked Test spin bowler," the report said.
"The Aussie batters were also tested out by a self-described throwdown specialist Khaleel Shariff, who has worked with numerous Indian Premier League teams and was known to coach Andrew McDonald and Vettori from their time at Royal Challengers Bangalore."
The other Tests will be played in New Delhi (February 17-21), Dharamsala (March 1-5) and Ahmedabad (March 9-13).
Thu, 02 Feb 2023 23:48:00 -0600 en text/html https://timesofindia.indiatimes.com/sports/cricket/australia-in-india/australia-get-ashwin-duplicate-to-train-ahead-of-test-series-against-india/articleshow/97575171.cms
Killexams : Rohit Sharma, Virat Kohli, Ravindra Jadeja Sweat It Out At Nets Ahead Of Australia Test Series. See Pics

Indian cricketers practice ahead of the Test series against Australia© BCCI

India began training ahead of the Border-Gavaskar Trophy 2023 against Australia in Nagpur on Friday. The Men in Blue will face a tough test from Australia, who is the number one ranked Test side. The first Test will be played in Nagpur between February 9 and 13. The Board of Control for Cricket in India (BCCI) on Friday shared pictures of Team India's training session on Twitter. The Indian cricket team defeated New Zealand in both the ODI and T20I series in the run-up to the Test series.

On Friday, the likes of captain Rohit Sharma, Virat Kohli, Cheteshwar Pujara, Ravindra Jadeja and KL Rahul were pictured training at the nets.

Indian skipper Rohit Sharma looked to be in good touch during a net session, while Kohli and opener KL Rahul also enjoyed a fruitful net session. The practice session was an intense one as both bowlers and batters worked hard to take their skills to the highest level before their opening Test against Australia.

Australia and India, currently ranked No.1 and 2 respectively in both the ICC Men's Test Team Rankings and the ongoing ICC World Test Championship 2023 cycle, will meet in a four-match Test series in India. The opening Test will be played in Nagpur between February 9 and 13.

India and Australia have played in 27 Test series since their first meeting in 1947-48. Australia lead the way with 12 series wins to India's 10, while five series have been drawn.

As part of the preparation, the Australian team has hired Maheesh Pithiya a 21-year-old spinner who bears an eerie likeness to Ravichandran Ashwin. Even as Pithiya's career developed to see him make his first-class debut for Baroda in December, his approach has stayed uncannily similar to Ashwin's, who will be one of Australia's biggest bowling threats during the four-Test series, which begins next week in Nagpur.

India are the current holder of the Border-Gavaskar Trophy after winning the series in Australia in 2020-21.

Australia squad:Pat Cummins (c), Ashton Agar, Scott Boland, Alex Carey, Cameron Green, Peter Handscomb, Josh Hazlewood, Travis Head, Usman Khawaja, Marnus Labuschagne, Nathan Lyon, Lance Morris, Todd Murphy, Matthew Renshaw, Steve Smith (vc), Mitchell Starc, Mitchell Swepson and David Warner.

India squad: (for the first two Tests) Rohit Sharma (c), KL Rahul (vc), Shubman Gill, Cheteshwar Pujara, Virat Kohli, Shreyas Iyer, KS Bharat, Ishan Kishan, Ravichandran Ashwin, Axar Patel, Kuldeep Yadav, Ravindra Jadeja, Mohammed Shami, Mohammed Siraj, Umesh Yadav, Jaydev Unadkat and Suryakumar Yadav.

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Fri, 10 Feb 2023 04:19:00 -0600 text/html https://sports.ndtv.com/india-vs-australia-2023/bgt-rohit-sharma-virat-kohli-ravindra-jadeja-sweat-it-out-at-nets-ahead-of-first-test-against-australia-3751029
Killexams : FanCode to live-stream West Indies’ two-match test series tour of Zimbabwe

FanCode, a sports live streaming app in India, will be live-streaming the West Indies tour of Zimbabwe. The two-test match series will be available on FanCode’s application for Android, iOS, and TV, besides its website.

The company said that the fans will be able to watch the series starting as low as Rs 29, with its unique match and tour passes. Further, monthly and yearly subscriptions plans are also available, through which, one gets access to more live sports on the platform.  

Under the leadership of Kraigg Brathwaite, West Indies will look to continue their winning spell in Zimbabwe. The return of Caribbean player Shannon Gabriel will be key for the Windies to extend their perfect record in the African nation. Craig Ervine will take over as Zimbabwe captain in place of the injured Sean Williams. A former England player, Gary Ballance, will make his test debut for West Indies in the series. 

Besides this tour, FanCode will also be streaming the Bangladesh Premier League and the Dream 11 Super Smash from New Zealand during February. Other than cricket, FanCode said that it is also streaming the HSBC World Rugby Sevens and the Turkish Airlines EuroLeague Basketball, among others.

With interactive streaming features such as live stats, data, and analysis on the match screen, FanCode’s aims to deliver sports fans an immersive experience, a statement from the company said. 

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Tue, 07 Feb 2023 21:18:00 -0600 en text/html https://www.financialexpress.com/brandwagon/fancode-to-live-stream-west-indies-two-match-test-series-tour-of-zimbabwe/2972003/
Killexams : Test series: Alex Carey aware of reverse threat in spin paradise

31-year-old says Australia are not oblivious to other threats lurking in these spin-friendly conditions

Australia wicketkeeper Alex Carey.

File picture

Reuters   |   Bangalore   |   Published 04.02.23, 04:46 AM

While Australia are prepared for a trial by spin in India they fully recognise the threat reverse swing may pose in the four-Test series against Rohit Sharma’s men, wicketkeeper Alex Carey said on Friday.

Spin talk has dominated the build-up to the series between the world’s top two Test teams, who meet in the opener in Nagpur on Thursday.

Australia batters practised on a scuffed-up pitch in Sydney before flying to India and have since gathered a bevvy of local spinners for their net sessions in Bangalore having decided against playing any warm-up matches.

Carey is set to play his first Test in India and the 31-year-old said Australia were not oblivious to other threats lurking in these spin-friendly conditions.

“Going to Pakistan, it was a lot of spin talk, and I found the reversing ball difficult,” Carey told reporters referring to their subcontinent tour last year.

“When I played a four-day game here in 2018, a lot of talk was about spin and you probably forget a little bit about how damaging both teams’ fast bowlers are with a reversing ball, and on wickets that might be a little bit up and down.”

Carey said Australia’s batting line-up had enough experience to cope with the challenges they will face in the series for the Border-Gavaskar Trophy.

“We are having the preparation in the game to ebb and flow between spin and fast bowling, dry periods and periods where we score quickly,” he added.

“I think what’s great about this team is the experience we have. There are players who have been here a number of times and players that are new, to be able to talk to other guys, what they’re doing, trust their game.

“I think we’ll enjoy this and embrace this challenge. It’s going to be a big, big series.”

Fri, 03 Feb 2023 14:46:00 -0600 text/html https://www.telegraphindia.com/sports/cricket/test-series-alex-carey-aware-of-reverse-threat-in-spin-paradise/cid/1914218
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