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                     November 2013 Just so you know...

From 4th November FINRA will now require broker-dealers to report transactions as soon as practicable, but no later than 10 seconds following execution. The previous rule required reports to be filed with FINRA within 30 seconds. This rule change applies to all over-the-counter transactions in equity securities. Specifically, the change affects OTC transactions in:

a) NMS stocks reported through the Trade Reporting Facility (TRF) or reported through the Alternative Display Facility (ADF) and

b) OTC equity securities (i.e., non-NMS stocks such as OTC Bulletin Board securities and securities in the OTC Pink Market), which are reported through the OTC Reporting Facility (ORF).

 

                     April 2013 We’ve just found out...

Fees for the NASAA exams (Series 63, 65 and 66) will increase on 1st June 2013. This announcement has been made on their website - http://www.nasaa.org/22551/important-announcement-regarding-fees-for-the-series-63-65-and-66-exams/

 

                     January 2013 Tax, Retirement and Regulation

Due to tax and regulatory changes, please click here for our 2013 Tax, Retirement Plan and Regulatory Update.

This document should be used by any candidate preparing to take a FINRA qualification examination in 2013.

STC is in the process of updating its study materials for all of the courses that are affected by these changes. If there are any discrepancies, the information in this document should be considered to be the most up-to-date.

 

                     January 2013 Experimental Questions

FINRA has updated the number of experimental (unidentified pre-test) questions on some of its qualification examinations. These additional questions will not contribute to your score. If your course is not listed below there have not been any changes.

Series 4 — Five additional experimental questions (total of 130 questions, of which 125 are scored)

Series 6 — Five additional experimental questions (total of 105 questions, of which 100 are scored)

Series 9 — Five additional experimental questions (total of 60 questions, of which 55 are scored)

Series 10 — Ten additional experimental questions (total of 155 questions, of which 145 are scored)

Series 22 — Five additional experimental questions (total of 105 questions, of which 100 are scored)

Series 24 — Ten additional experimental questions (total of 160 questions, of which 150 are scored)

Series 26 — Five additional experimental questions (total of 115 questions, of which 110 are scored)

Series 27 — Five additional experimental questions (total of 150 questions, of which 145 are scored)

Series 55 — Ten additional experimental questions (total of 110 questions, of which 100 are scored)

Series 62 — Five additional experimental questions (total of 120 questions, of which 115 are scored)

 

                     September 2012 Just a helpful nudge...

FINRA Cancellation and Reschedule Policy

Those of you needing to alter a scheduled FINRA exam or Regulatory Element Continuing Education session must do so a minimum of 10 business days in advance. FINRA have provided a timetable to assist you and this can be found at http://tiny.cc/sm6ekw

wallace cititraining provide Series 17, 7 and all US regulatory exam material, can take fingerprints, offer Virtual Classes and On Demand Lectures to make your life easier. If you need any assistance just call us on 020 7379 0504.

 

                     July 2012 Series 99 deadline - most urgent!

Functioning as an Operations Professional, but have not taken the Series 99 Regulatory Examination?

The window to take the Series 99 Examination for Day-One Professionals closes on October 17, 2012.
If you need help, click http://tinyurl.com/9a3dtcd to see what wallace cititraining has to offer.

 

                     June 2012 Good luck and some final tips

Here are some last minute exam tips which you might find useful:

• Remember to take 2 forms of ID with you to your exam, one with a photo (not your entry swipe card to your firm)
If English is not your first language, remember to take your firm's letter of confirmation with you (you must have requested extra time or use of a dictionary when you booked your exam)
Aim to arrive at the test centre early - avoid a last minute panic
As with taking any exam, a good night's sleep and proper food beforehand will aid your concentration

Do please let us know how you do and thanks for using Wallace Cititraining as part of your exam prep.

 

                     April 2012 CF30 – FINRA recognition... finally!

Just when you had given up hope, FINRA have finally recognized the CF30 prerequisite. If you like “regulatorspeak” and want to know all the details you can following this link: http://bit.ly/HPBIRo but in English this means that properly registered people in the UK may be eligible to act as a General Securities Representative in the US, by obtaining the Limited Registered Representative (IE) registration.

The IE registration is obtained by meeting certain criteria (details on the above link) and by passing the Series 17 exam. The IE registration allows individuals to act as a General Securities Representative without having to sit the Series 7 exam but you can’t conduct business in municipal securities.

wallace cititraining provide Series 17, 7 and all US regulatory exam material, can take fingerprints, offer Virtual Classes and On Demand Lectures to make your life easier. If you need any assistance just call us on 020 7379 0504.

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