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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 Topics 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 actual 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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it be impossible to understand how many Arizona restaurants have superb COVID circumstances. here's why | Series6 Cheatsheet and test Questions

because the quantity of COVID-19 circumstances and deaths in Arizona continues to raise, reviews of restaurant group of workers contracting the ailment are also on the rise, leading some metro Phoenix eating places to voluntarily close.

For some groups, this is a second or third closure in exact months. In March, Gov. Doug Ducey implemented a statewide restaurant shutdown and in may additionally, every week-lengthy nightly curfew led to some restaurants to close or reduce short their hours. 

As of June 17, Arizona had 40,924 cumulative circumstances statewide and 1,239 deaths because of COVID-19. considering April, total hospitalizations have doubled.

probably the most exact spike comes a few month after Arizona restaurants were given the eco-friendly light to renew dine-in functions. but when the reopening of the state changed into a primary sign of financial restoration, it become brief lived.

With basically no enforcementof the state's advised reopening guidelines and no criminal requirement for businesses to close if personnel contract the disorder, restaurant house owners can make a decision to close or proceed operations as average.

extra issues TO DO: for restaurant stories, shuttle assistance, live performance picks and extra, subscribe to azcentral.com.

The Arcadia area in Phoenix has considered at least five eating places verify situations of personnel checking out positive for COVID-19. And in the ultimate month, greater than a dozen restaurantsand breweries across the Valley also have had to come to a decision what to do when somebody associated with the enterprise tests nice for the ailment. 

but there's no requirement for restaurant homeowners to inform the general public if a workforce member receives ill. That skill there isn't any method for the general public to grasp simply how many restaurants have had staff test fine for the disorder. 

regardless of the fresh wave of voluntary closures due to fantastic COVID-19 assessments, state leaders including Ducey and Arizona Restaurant affiliation President and CEO Steve Chucri preserve the state's reopening goes neatly.

"The instructions are engaged on a broader scale," Chucri instructed the Arizona Republic on Monday. "eating places should continue to make use of these protocols because they work and that they continue to work. They are not doing that poorly."

here's how Arizona restaurants reopened

The voluntary restaurant closures occurring round metro Phoenix come simply over a month after the state started reopening. On March 20, the governor issued an govt order that closed most restaurant eating rooms in the state unless may also eleven, when businesses were accepted to resume dine-in capabilities. 

thoughts from the governor's office, the facilities for ailment handle and Prevention, the Arizona Restaurant affiliation, native First Arizona and greater outlined methods eating places might preserve workforce and customers safe. cautioned defense measures blanketed masks, gloves, 6 toes of distance, single use menus and hand sanitizer for valued clientele and team of workers. 

however the health and safety recommendations for eating places were and remain most effective suggestions as neither native legislation enforcement nor the state's health inspectors say they're empowered to enforce the instructions.

the inability of enforcement resulted in scattershot software of the instructions supposed to provide protection to diners and laborers.

Bevvy, a gastropub and bar in Scottsdale. (image: Rob Schumacher/The Republic)

At Bevvy, a gastropub and bar in Scottsdale, personnel took consumers' temperatures before they had been allowed inside the pub on might also 11. Breakfast club Scottsdale took extra comfortable approach; group of workers didn't put on masks as universal supervisor Holley Latunski instructed The Republic she wanted to supply a "usual" journey for purchasers.

“we are following the commonplace standards and the CDC necessities,” she talked about. “however they are following the basics. They don't seem to be going above and beyond.”

within per week of eating places reopening, stories of high quality circumstances of COVID-19 amongst restaurant laborers all started to surface. On may additionally 15, Helton Brewing enterprise and Alo Cafe both closed because somebody regarding the company confirmed positive for COVID-10.

Weeks later, after birthday party-goers back en masse to old city Scottsdale for a weekend of Memorial Day celebrations, Scottsdale police concentrated on schooling over enforcement, Sgt. Ben Hoster told The Republic in might also. 

"you are without doubt now not going to see any immediate motion," Hoster stated. "We are not going to be arresting any individual."

Hoster referred to individual company house owners are the ones answerable for preserving their customers protected in opposition t the coronavirus, no longer police.

Why it be unimaginable to understand how many restaurants have had COVID instances

however with cases rising and no enforcement of defense rules, Arizona restaurant homeowners are left to decide if it be enhanced to courageous the fiscal burden of an extra closure or chance exposing group of workers and diners to the coronavirus.

Hash Kitchen in Arcadia. (picture: Hash Kitchen)

On Friday, June 12, The Republic pronounced that Arcadia area places of Hash Kitchen and The Porch, along with the downtown Chandler and uptown Phoenix areas of SanTan Brewing closed after team of workers validated effective for COVID-19.

The restaurant owners voluntarily closed down their agencies, which they don't seem to be required to accomplish that through any govt company.

Johnny Dilone with Maricopa County Environmental capabilities, the company responsible for eaterie inspections, referred to inspectors are not charged with checking for coronavirus-related violations. The agency launched a checklist for eating places reopening in may additionally, which restaurant owners and operators may still discuss with again, Dilone said.

"every time they reopen, they have that reopening guidelines," he spoke of. "but it surely's no longer like we're gonna go there and enforce these checklists."

If a restaurant inspector comes across something outside of secure practices involving coronavirus, the inspector may additionally deliver it up to the restaurant proprietor. but the inspectors handle issues with education instead of enforcement, Dilone stated, as inspectors are only accepted to implement usual food code rules.

usual security practices should aid to steer clear of the unfold of coronavirus if adopted accurately, he mentioned. 

in accordance with Dilone, restaurants aren't required to document a explanation for closing to his company nor to inform the general public if they have a good case of COVID-19.

The Republic reached out representatives from a few of metro Phoenix's greatest restaurant groups, together with Upward tasks, Fox Restaurant ideas and LGO Hospitality, to confirm whether the corporations plan to alert consumers if any personnel contract COVID-19. 

LGO Hospitality established Chelsea's Kitchen, an Arcadia enviornment restaurant, suspended dine-in service after a "person close to the restaurant" Tested nice for COVID-19, based on Deirdre James, regional sales and marketing director for the Phoenix-primarily based restaurant enterprise.

however, James would not verify even if the company plans to inform the public about feasible instances in the future.

"each and every positive case should be evaluated on a case by means of case basis and may not warrant the same response," James wrote in an electronic mail to The Republic on Wednesday. 

Fox Restaurant ideas areas that journey positive cases will shut and customers could be notified through a be aware posted on the company' door, according to vp of advertising and marketing Anita Walker. 

The restaurant company has not shared any information of superb situations on-line, but if consumers ask, the business is "organized to confirm any visitor inquiries on social or telephone calls to the restaurants in the event that they are available in," Walker wrote in an email to The Republic.

Fox restaurants consist of Flower newborn, Culinary Dropout, Blanco Tacos & Tequila and The Henry among others. 

Upward initiatives, which owns eating places together with Postino and Windsor, has a prolonged COVID response plan posted on its web page. The plan shows that a restaurant may additionally or may also not close if group of workers are uncovered to COVID-19. The determination to close or continue to be open is based on how right now the restaurant will also be cleaned, body of workers will also be quarantined and, if indispensable, replaced. 

concerning informing the public of any high quality COVID-19 checks amongst Upward initiatives team of workers, consumers are free to ask, in accordance with Upward tasks CEO Lauren Bailey.

"When they are notified of a validated case, they let every crew member recognize of that case inside half-hour," Bailey wrote in a press release to the Republic. "To streamline communications and supply essentially the most accurate, up-to-date suggestions, they request that visitors call their neighborhood region or their leading office number. Our groups were urged to supply that assistance to visitors."

How some restaurant body of workers raised concerns

whereas it be not possible to grasp how many eating places have remained open and operational even when workforce have contracted COVID-19, some customers and restaurant personnel have taken to social media to elevate concerns. 

On June 10, tweets circulated that locations of Zipps sports bars had been "having group of workers COVID outbreaks and preserving it on the low." On June 13, someone who recognized herself as an worker of the Arcadia Zipps region posted an announcement on fb explaining she knew of 5 personnel at the restaurant who had proven cases of coronavirus. The Republic reached out to the grownup for an interview but did not get hold of a response. 

Days after the preliminary claims were made,  Zipps released a press release on June 14 by way of social media confirming the restaurant neighborhood had a "first wonderful case" of COVID-19 at its Arcadia location.

in keeping with a request for interview from The Republic, Zipps administration released an announcement asserting the company acted "automatically" after researching about the staff member's tremendous verify.

"we can inform you that ​upon learning of the positive verify influence they have taken the entire proper precautions by means of automatically informing their staff that may were probably uncovered, getting rid of them from the agenda and they are being established," the statement pointed out. 

whereas employees who had contact with the unwell personnel member are being demonstrated, Zipps management stated it has transferred employees from different locations to cowl the shifts.

Tiffany Doby, advertising and marketing and public members of the family director for Zipps' guardian company local restaurants LLC, also observed the Arcadia restaurant has been "deep cleaned and sanitized."

besides the fact that children the restaurant didn't close, the company shortened the restaurant's business hours and shifted to takeout carrier handiest. On June 17, an worker on the Zipps Park vital location Tested that the imperative Phoenix location of the restaurant is at the moment closed because of a good case and that group of workers have become proven.

despite the fresh advantageous instances, the business continues to comply with a coverage that permits group of workers and shoppers within the restaurant with out donning a masks.

"We chose now not to mandate masks as a result of they didn't are looking to provide their guests the false belief that their eating places are sterile like an operating room," Doby wrote in an e-mail to The Republic. "we are taking the most beneficial, useful measures to supply their guests and staff with the safest journey possible."

'We desired to be proactive'

other restaurant homeowners are taking a extra proactive method, making a choice on to close earlier than any staff get ailing.

On Monday, June 15, the owners of Aioli connoisseur Burgers selected to close the restaurant's dining room notwithstanding the company had viewed no high-quality situations of COVID-19.

"After seeing the entire situations that took place this weekend, this failed to appear to be so an awful lot of an issue when the complete state become doing takeout and curbside," owner Kyle Hollenbeck talked about. 

The north Phoenix restaurant had been serving valued clientele in the dining room when you consider that may additionally 11. but now it has switched again to takeout and curbside pickup most effective.

"We wanted to be proactive and take it that step forward to restrict their probabilities of this going on to us," he noted. 

Hollenbeck pointed out the restaurant does good enough on takeout sales, no longer as plenty as dine-in would compile, however satisfactory to hold the business going and personnel paid. 

If someone obtained ill and the restaurant have been to absolutely close for up to 14 days, the financial outcome can be an awful lot worse, he talked about. 

"We decided, you understand what, this is more desirable," he spoke of. "We are only trying to manage what they can."

Leaders say eating places don't seem to be regarding a spike in COVID circumstances

Arizona Gov. Doug Ducey speaks at a press convention about updates to COVID-19 restrictions in Arizona on the Arizona Commerce Authority convention core in Phoenix on may additionally 12, 2020. (photograph: Thomas Hawthorne/The Republic)

despite a seventy eight% increase in COVID-19 situations from may also 28 to June 11, state leaders including Gov. Ducey and the president of the Arizona Restaurant affiliation keep that Arizona is relocating in the appropriate direction.

The governor has downplayed the rising variety of circumstances within the state, citing an increase in testing because the reason behind greater situations being identified. 

In a June eleven news conference, Ducey focused on the preparedness of Arizona's hospitals and the number of available ICU beds. He reiterated that Arizona continues to be in "part One" of his three section plan to reopen the economic system and that restaurants are permitted to function eating rooms.

His govt order stating bars should continue to be closed remains in impact. youngsters, because of lack of enforcement and a loophole, many bars and nightclubs across the state have already reopened.

Steve Chucri of the Arizona Restaurant association, the state's largest restaurant lobbying and promoting company, referred to reopening restaurants and the raise in circumstances are not always connected. 

"I do not consider reopening eating places is why we're seeing a spike," Chucri mentioned. "people have become again into the workplace and returned into their daily activities."

Chucri observed that servers who get sick might have caught the virus on the grocery store, at the financial institution or at any other aspect outdoor of work, specially as restaurants are alleged to always implement strict sanitation protocols. 

"we are focused on hygiene three hundred and sixty five days a yr, consumer defense and cleanliness is at all times entrance of intellect, it be job one," Chucri noted. 

Chucri pointed out that, to his realizing, most eating places are following the instructions and opting to be clear with visitors if any individual exams nice.

"If a restaurant is reckless, the standard reality is they're going to exit of enterprise," Chucri referred to. "they've every incentive to be sure that they are doing the right thing."

The percentage of restaurants experiencing COVID-19 cases continues to be small, Chucri spoke of. He estimates that between 1-2% of eating places in Arizona have skilled a 2d closure due to COVID-19.

however Aioli Burger owner Kyle Hollenbeck said he is not certain when he'll suppose at ease reopening his dining room. until then, his group continues to serve takeout and present curbside pickup, including a beginning alternative for a weeks worth of precooked foodstuff.

For now, he is planning to wait.

"we hope here is the height and it starts curving down," he observed. "until then they are observing the developments. it may well now not be the most excellent business determination, but on a human degree, they desired to be part of the answer."

reach the reporter at tirion.morris@arizonarepublic.com. follow her on Twitter at @tirionmorris, on facebook at Tirion Rose and on Instagram at tirionrose. 

support local journalism and subscribe to azcentral.com nowadays.

study or Share this story: https://www.azcentral.com/story/entertainment/dining/2020/06/17/covid-cases-arizona-restaurants-rising-closures/3191441001/


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