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Test Number : Series6
Test Name : NASD Series 6
Vendor Name : Business-Tests
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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 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 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
FINRA By-Laws
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
FINRA Rules
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
FINRA Rules
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
documents
� Networking arrangements
� Regulations related to marketing/prospecting
� Initial privacy disclosures to customers (e.g., definitions, privacy and opt-out notices, disclosure
limitations, exceptions)
FINRA Rules
2020 � Use of Manipulative, Deceptive, or other Fraudulent Devices
2266 � SIPC Information
NASD Rule
2420 � Dealing with Non-Members
Securities Exchange Act of 1934
Section 3(a)(4)(B) � Definitions and Application, Broker (Exception for Certain Bank
Activities)
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
Offering
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
FINRA Rules
2210 � Communications with the Public
NASD Rule
IM-2210-2 � Communications with the Public About Variable Life Insurance and Variable
Annuities
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
FINRA Rules
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
limits)
� 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
acceptances
� Other investment types, including but not limited to: Exchange Traded Funds (ETFs) and hedge
funds
� 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))
FINRA Rules
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
MSRB Rule
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
Company
Section 13 � Changes in Investment Policy
Section 19 � Payments or Distributions
Rule 19a-1 � Written Statement to Accompany Dividend Payments by Management
Companies
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
Repurchase
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
Persons
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
(ERISA)
� 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
FINRA Rules
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
Company
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)
FINRA Rules
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
Dealers
Rule 17a-4(b)(6) � Records relating to discretionary authority
Rule 17a-8 � Financial Recordkeeping and Reporting of Currency and Foreign
Transactions
Regulation S-P � Privacy of Customer Financial Information and Safeguarding Personal
Information
USA PATRIOT Act
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
accounts
FINRA Rule
3310 � Anti-Money Laundering Compliance Program
USA PATRIOT Act
Section 314 � Cooperative Efforts to Deter Money Laundering
Section 352 � Anti-Money Laundering Programs

FUNCTION 4 � Obtains, verifies, and confirms customer purchase and sale
instructions
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
FINRA Rules
2232 � Customer Confirmations
4510 � Books and Records Requirements
4514 � Authorization Records for Negotiable Instruments Drawn From a Customers
Account
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
Others
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
Dealers
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
FINRA Rules
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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Utah’s coronavirus testing is down. How can they make it less demanding and extra constructive? | Series6 test dumps and boot camp

Editor’s observe: The Salt Lake Tribune is presenting free entry to vital reports concerning the coronavirus. register for their precise studies newsletter, sent to your inbox every weekday morning. To assist journalism like this, please donate or develop into a subscriber.

Utah is checking out fewer and fewer individuals for the coronavirus.

over the past five days, we’ve tested a regular of two,758 americans per day. right through their top-rated week, in late April, they proven a normal of more than 4,700 people per day.

listed below are some percentages:

1. Fewer people are becoming the coronavirus. this could be a greater convincing explanation if remaining week hadn’t in reality featured Utah’s maximum variety of circumstances thus far, albeit no longer through a tremendous volume. but maybe docs are doing a more robust job of picking who has the virus so they don’t look at various as many negatives.

2. Fewer people are getting diseases with equivalent symptoms. This makes sense to me: Flu season has ended, so fewer individuals are getting the normal flu and pondering it’s COVID-19.

three. Coronavirus fatigue. people are considering much less generally concerning the virus than they were in April and are much less likely to wish to get tested if they have mild signs. it's challenging for a neighborhood to preserve its attention for months on conclusion.

4. extra individuals are returned at work. When americans are at work, they don’t have time to get verified. Some be troubled about colossal financial downsides of trying out high-quality — they can’t go to work and make funds — so why get proven at all? Some may work through early or mild signs, or go to work however they've a ill loved one at domestic.

5. TestUtah issues. The Salt Lake Tribune has posted some giant and caring reporting on the TestUtah condition. For a long time, TestUtah’s medical groups had been trying out asymptomatic americans earlier than the state department of health advised them to knock it off, as a result of they’d get a skewed pattern. Even amongst symptomatic assessments, there have been issues about accuracy. maybe some Utahns simply lost have confidence in the TestUtah program and have been much less more likely to use it.

6. note of mouth. As more individuals took the checks, they likely talked to their friends about it. Most of them Checked bad, which doubtless a bit dissuaded their pals from getting proven. Some probably informed their friends in regards to the uncomfortable nature of the nasopharyngeal swab, and their friends weren’t excited about it.

causes No. 1 and No. 2 would point out that they had been getting greater at finding out who has the coronavirus, which might mean the decline in tests taken isn’t a problem. but explanations three through six would suggest we’re getting much less adept at deciding who has the virus, and that's an issue.

after they leave out coronavirus situations, that capability we’re going to be much less valuable in managing the spread of it. Contact tracers can’t do their jobs if they don’t have normal situations to trace. ill people may additionally now not quarantine. They received’t comprehend which locations the virus has been. high-chance people gained’t even comprehend they’ve been uncovered, which means they’re going to are seeking medical consideration later than in the event that they’re watching for indicators.

Now, one possible solution to here's via repeated messaging about the importance of testing and tracing. might be articles like this one, public statements from Dr. Angela Dunn or Gov. Gary Herbert, or public provider bulletins could spread the notice. This become the early approach, really; daily news conferences, asking americans to down load the in shape collectively app, adverts and indications everywhere the state.

but the past month has made one reality clear: if you inform a population of americans to do whatever, there’s going to be some percentage of rebels who will now be more inclined to not try this thing than ever earlier than. Regardless if it’s donning a mask, getting a vaccine, or an Oprah-fashion new automobile giveaway for every man or woman, there are going to be people who by some means make no longer taking part within the common first rate a proud part of their identification. And the percentage of americans who just aren’t paying consideration is probably even enhanced.

If they in fact want to capture a higher percentage of their coronavirus instances, those in cost are going to should widen the aim posts. We’re going to need to vastly lower and/or eliminate the boundaries to checking out.

First, they should be aware that antibody trying out isn’t what we’re attempting to find right here. Antibodies often take about 24 days to be created after symptom onset; through then, individuals doubtless aren’t contagious. frequent antibody checking out courses like the one run by using the institution of Utah enable us to grasp an awful lot about what the state of the virus become three weeks in the past, however gained’t be very nimble in enabling us to control ongoing hot spots.

instead, we’re trying to greater conveniently discover which people have gotten the coronavirus lately. listed below are a few approaches they might do that.

change the financial incentives

Even when coronavirus checks are free, there are economic barriers that might stay away from individuals from getting demonstrated.

at the moment, Congress mandates that each one groups with below 500 employees ought to provide worker's up to eighty hours of full paid leave if they need to quarantine due to COVID-19. in addition, employees stand up to eighty hours of two-thirds pay in poor health go away if they’re unable to work on account of a ill friend or child who has to stay at domestic as a result of schools are closed. These merits are paid for via federal payroll tax breaks. here's good.

but Congress didn’t mandate that huge businesses do the identical. while the intent turned into that massive corporations pays for these merits themselves, the follow-via has been spotty. with out paid ailing depart, individuals are incentivized to work notwithstanding they're unwell or have a family member who is unwell. those people are not likely to want to get proven.

In Utah, corporations have also been asked to conduct temperature tests on personnel before they begin their shifts. while the state created the PPE Push Pack application to get protective gear within the arms of small organizations, there wasn’t an identical push to get touchless thermometers in the arms of corporations.

eventually, there’s simply the proven fact that individuals must take day out of their day to get demonstrated. Even with free tests, it’s a bother. Some economists have suggested incentivizing people to take the examine, even paying them to do so. Freakonomics author Steve Levitt recommended operating a coronavirus checking out lottery — take the examine, be entered to win megabucks!

I’m not sure the lottery idea would fly in Utah, however Utahns bound do love giveaways. probably the deepest sector might get involved in donating freebies to people that take the checks.

Making the look at various convenient to take

Of route, people might still circulate on a lottery ticket or giveaway if it intended that they’re going to need to endure via what a coronavirus check carries now. Most assessments within the U.S. are still administered by pretty much sticking a Q-tip up your nose and method inside your head.

a way to reap a Nasopharyngeal Swab Specimen, from the new England Journal of medication.

I’ve taken one of these assessments. It’s no longer horrendous — it felt like I had simply had some aggressively spicy, sinus-clearing hot sauce — nevertheless it is uncomfortable. It actually left my eyes watering for the subsequent 10 to 15 minutes. That can be satisfactory to show people away, or as a minimum make them think twice.

We use this checking out system as a result of for other viruses it’s been shown to provide the most advantageous effects. but as they study extra about this coronavirus, we’re gaining knowledge of that the back of their nasal cavity isn’t at all times a spot of high viral load.

truly, one contemporary look at confirmed that saliva is extra sensitive for coronavirus detection than the nasopharyngeal swab. The look at took the swabs from 44 people with coronavirus, then took usual historic spit from them, too.

The outcomes of coronavirus assessments performed via saliva and by the use of nasopharyngeal swab. (https://www.medrxiv.org/content/10.1101/2020.04.sixteen.20067835v1.full.pdf)

good enough, these figures seem to be complicated at the beginning, but i will be able to clarify them. The graph on the left indicates how much virus each test picked up. See how the blue bubbles — the saliva bubbles — are higher on the graph than the eco-friendly ones? That potential the saliva tests are detecting extra virus than the nasal swabs.

The core graph shows how the paired samples performed. many of the lines are trending upward from left to appropriate, that means that for many people, the spit look at various picked up greater virus than the nasal one did. eventually, the correct graph shows that as neatly, with more matched samples on the high side for saliva — and also shows that the nasopharyngeal tests neglected greater positives than the saliva look at various did.

The analyze also later observed it found less “temporal variability” with saliva checks than nasopharyngeal ones. In other phrases, individuals who established high-quality with saliva endured to check effective. With the nasopharyngeal exams, high-quality americans once in a while confirmed negative.

Now, this paper has yet to be peer-reviewed, so they do have to be a bit bit skeptical. however it is huge facts that saliva checks are greater.

an extra entertaining study found that self-amassed checks were simply as good as physician-administered ones. One issue about the TestUtah software changed into how many of the assessments have been self-administered, but it surely looks that didn’t always should be a be concerned — their low outcomes have been likely for other reasons.

These results, when confirmed, certainly trade the checking out video game, and a lot of international locations have already begun changing their protocols to take skills. they can, too. It’s effortless to think about a prework spit test — whereas it could no longer return outcomes unless a day later, detecting viral load nonetheless may still beat the onset of fever. They could additionally ship Ancestry-vogue saliva checking out kits to americans’s buildings in the event that they had exposure to a scourge.

Self-accrued saliva testing makes it possible for us to be definitely artistic about their processes.

enjoyable with sewage sludge

here’s one more artistic approach: wastewater trying out.

The upshot is that you probably have access to sewage strains and wastewater medicine amenities, as city governments do, that you would be able to examine that sludge for the virus. You may have seen this from a Yale examine posted closing week that did precisely that in Connecticut; and found a astounding correlation between the demonstrated viral awareness in sludge and new instances well-nigh per week later.

SARS-CoV-2 RNA concentrations in primary municipal sewage sludge as a number one indicator of COVID-19 outbreak dynamics (https://www.medrxiv.org/content/10.1101/2020.05.19.20105999v1.full.pdf)

Now, it turns out that the prettiness of the graph above is truly, really suspect. There’s basically an ideal correlation (R = 0.994, for those fascinated) between those two strains, and in science, every time a correlation is that best, it raises pink flags. real existence is messy, with all forms of confounding variables: You may test americans’s heights from one week to the next and not get that good of a correlation.

as it turns out, the information had been cooked just a little. It wasn’t doubtless intentional, however the smoothing algorithm the Yale team used for the lines really incorporated future records and removed outliers. this is why we've a peer-overview procedure in general instances, to prevent this from occurring. during this emergency, amateurs should trap these types of blunders, and they caught this one.

The decent information is that, even when you relevant for the grotesque stat mistakes, there is a true signal in the sewage records. This extra accurate analysis of the Yale crew’s records discovered that the correlation between sewage and hospitalizations continues to be tremendous with a one-day lead time, and nevertheless exists with a two or three-day lead time. primary sewage surveillance could nevertheless warn us of impending outbreaks, and supply us a day or two to get substances — like medical institution beds — capable in the correct areas.

It’s an idea we’re attempting in Utah, too. Three universities — Utah State university, the tuition of Utah and Brigham young college — are working to compile statistics at wastewater amenities up and down the Wasatch entrance. They estimate 30% of the state’s inhabitants are covered by these tests, which may still supply us even a much better concept of how the virus’s spread is happening if the idea works here.

Even past higher tendencies, that you would be able to delivery to think about all kinds of extra fanciful — a be aware I’d never notion I’d use in a conversation about sewage — focused probabilities for this strategy. You may birth testing the sewer traces in each neighborhood, after which if that nearby spikes, verify each road, enabling you to slender the supply of the outbreak. You may then call the americans on that street, seeing if anyone is ailing.

Heck, you might then add in different checking out advances. You may mail saliva look at various kits to individuals who reside on that street to establish asymptomatic carriers and tell them to dwell home, for instance. If the sewage of a enterprise checks fantastic, you might carry saliva test kits to the door and get samples lower back right away. We’d deserve to cut the procedural look at various time for this to actually work, but it's viable — I got the outcomes of my coronavirus check, performed on March eleven, in about 10 hours.

presently, Utah has a declining check count number, regardless of an overabundance of coronavirus assessments. no matter if it’s by means of making trying out greater inexpensive, less uncomfortable, and even hidden beneath the floor, they need to work out the way to most beneficial verify their population within the mid- to long run, so that they can spot and dispose of these outbreaks earlier than they develop.

Doing that could enable us to have the better of both worlds: it will enable us to absolutely open the economic climate whereas minimizing the risk of an infection for each person. sweet, sweet normality — or at least something like it.

extra coronavirus reviews by way of Andy Larsen

Andy Larsen is a Tribune activities reporter who covers the Utah Jazz. all the way through this crisis, he has been assigned to dig into the numbers surrounding the coronavirus. that you may attain Andy at alarsen@sltrib.com or on Twitter at @andyblarsen.

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