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For
Course Descriptions and Prices
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DIRECT PARTICIPATION
PROGRAMS
The
NASD Direct Particpation Programs Limited Principal qualfication
examination is designed to test a candidate's knowledge of the
rules and statutory provisions applicable to the management of
a broker/dealer which limits his securities business to direct
participation programs.
The
examination is composed of 100 multiple choice questions with
an allotted time of 135 minutes. The test is graded on a basis
of two passing scores. Candidates must achieve 70% in order to
pass the examination.
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Topics |
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1.
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Structure
and regulation of direct participation program offerings
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46%
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2.
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Sales
supervision; general supervision of employees; regulatory
framework of NASD
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32%
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3.
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Compliance
with financial responsibility rules
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22%
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Test-N-Learn Company you get the most advanced computer based
training available.
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Test-N-Learn Company and its affiliates attempt to be as accurate
as possible. However, Test-N-Learn Company does not warrant that
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web site is error-free. Prices
and other information in this document are subject to change without
notice.
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