Published Memo Number 05-105
 

Information Memo  05-105  is available for viewing or printing with Adobe Acrobat
   
Number 05-105 12/21/2005
 
ATTENTION:   CHIEF EXECUTIVE OFFICERS, MANAGING PARTNERS, COMPLIANCE AND LEGAL DEPARTMENTS, RESEARCH DEPARTMENTS, REGISTRATION, AND CONTINUING EDUCATION DEPARTMENTS
 
TO:   ALL MEMBERS AND MEMBER ORGANIZATIONS
 
SUBJECT:   REVISIONS TO THE SERIES 4 AND SERIES 9/10 EXAMINATION PROGRAMS
 



On November 7, 2005, Information Memo 05-85 announced that the Exchange qualification examination programs for the General Securities Sales Supervisor (Series 9/10) and Registered Options Principal (Series 4) were to be revised effective November 20, 2005.

On November 30, 2005 the Securities and Exchange Commission approved revisions to the: (1) Study Outline for the General Securities Sales Supervisor (Series 9/10) Examination Program and (2) Study Outline for the Registered Options Principal (Series 4) Examination Program.1 The program changes and revised study outlines are effective as of November 30, 2005. The revised examination study outlines are available for download via the Regulation page on the NYSE website at http://www.nyse.com.

Questions regarding this information memo may be addressed to: Tina Freilicher, Director of Testing Standards at 212-656-2741, Chun Liu, Senior Testing and Evaluation Specialist at 212-656-5761, or Patricia Monterosso, Senior Testing and Evaluation Specialist at 212-656-4376.
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Donald van Weezel
Vice President
Member Firm Regulation


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1 See SEC Release No. 34-52915 (December 7, 2005) 70 FR 74074 (December 14, 2005) (SR-NYSE-2005-85) and SEC Release No. 34-52921 (December 7, 2005) 70 FR 74395 (December 15, 2005) (SR-NYSE-2005-84). Both filings were effective upon filing.