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For
Course Descriptions and Prices
Please Download The Catalog and
Order Form
ORDER
PROCESSING
The
"Assistant Representative Order Processing" category
of registration applies to persons associated with an NASD member
firm who accepts telephone or other communications from the public
for the purposes of providing current securities quotations and
accepting unsolicited customer orders for submission to the normal
order execution operations of the member. Persons performing either
of the above tasks for a member, and not already registered as
a Representative or Principal, must register with the NASD through
their member firm.
An
Assistant Representative--Order Processing registrant may conduct
the above mentioned tasks only on the premises of the member,
must be under the direct supervision of an appropriately registered
principal, and may not receive extra direct or indirect compensation
for the number or size of transaction effected. In addition, an
Assistant Representative--Order Processing registrant is prohibited
from rendering investment advice or opinion, making recommendations,
effecting transactions in securities markets on behalf of the
member firm, or accepting or opening new accounts. Therefore,
an Assistant Representative--Order Processing is prohibited from
dually registering as a Representative or Principal. The NASD
Series 11 examination is comprised of 50 questions with one hour
of testing time allowed for its completion.
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Topics |
Number
of Questions
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1.
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Types
of securities and markets |
17
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2.
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Customer
account form |
10
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3.
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Providing
price information and order processing
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18
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4.
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General
regulation of brokers and dealers
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5
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and other information in this document are subject to change without
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