NYSE Information Memo 01-32
Member Firm Regulation
20 Broad Street
New York, NY 10005
Number 01-32
October 4, 2001
| ATTENTION: | MANAGING PARTNER, CHIEF EXECUTIVE OFFICER, BRANCH OFFICE MANAGERS, COMPLIANCE OFFICER, TRAINING AND HR DIRECTORS |
| TO: | ALL MEMBERS AND MEMBER ORGANIZATIONS |
| SUBJECT: | CONTINUING EDUCATION -- NEW PROGRAM FOR SERIES 6 REGISTERED PERSONS |
Rule 345A (Continuing Education for Registered Persons) permits the Exchange, as appropriate, to designate specific Continuing Education Regulatory Element programs for various registration categories. The first initiative under Rule 345A was the General Program (S101) in 1995, followed by the Supervisor's Program (S201) which was released in November 1998. We are now preparing to introduce the Series 6 Program (S106), which has been developed specifically for Series 6 registered persons.
Upon the implementation of the new program, Series 6 registered persons will take the S106 Program. Supervisors/Principals of Series 6 registered persons will continue to take the Supervisor's Program (S201). Other registration categories will continue to take the General Program (S101).
Attached is the combined Content Outline for both the S101 and S106 programs. Please note that there is some overlap in subject matter between the two programs. However, those areas specific to the individual programs are indicated.
A future Information Memo will be published with the specific date of the implementation of the 106 Program, as soon as it is available. In the interim period, Series 6 registered persons will continue to take the General Program.
Any questions relating to this memorandum may be directed to Roni Meikle, Continuing Education Manager at (212) 656-2156 or Pat DeVita, Continuing Education Coordinator at (212) 656-2746.
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Salvatore Pallante
Executive Vice President
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