April 16, 2014
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Series 55 Exam Deadline Approaches

On April 1, 1998, NASD Regulation, Inc., amended the NASD Registration Rules regarding the qualification of representatives who trade equity securities in The Nasdaq Stock Market and/or the OTC Bulletin Board. The amendments allow market participants to continue to trade but requires them to pass the Limited Representative—Equity Trader (Series 55) Examination by May 1, 2000.

Candidates subject to the May 1, 2000, deadline who have not successfully completed the Series 55 exam are strongly encouraged to do so as soon as possible. On May 1, 2000, any candidate who has not passed the Series 55 will have to cease all trading activities in Nasdaq and/or OTCBB equity securities.

Copies of the study outline and registration applications may be obtained from NASD MediaSourcesm at (301) 590-6142. To access materials online, visit www.nasd.com. From the homepage, select "Services" and click on "Bookstore," and then "NASD Regulation." If you have any questions regarding this requirement, contact Carole Hartzog at the NASD Testing and Continuing Education Department at (301) 590-6696.  


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