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Series 72 – Government Securities – Limited Representative; Series 79 – Investment Banking Exam; Series 82 – Private Securities Offerings – Limited Representative; Series 86 – Research Analyst – Securities Analysis [8] Series 87 – Research Analyst – Regulations [8] Series 99 – Operations Professional
Although practitioners use popular names to refer to federal securities laws, these laws are generally codified in the U.S. Code, which is the official codification of U.S. statutory law. They are contained in Title 15 of the U.S. Code: for example, the official code citation for Section 5 of the Securities Act of 1933 is 15 U.S.C. section 77e.
FINRA had total revenues of US$1.34 billion in 2022. [35] [36] [5] [37] FINRA is funded primarily by assessments of member firms' registered representatives and applicants, annual fees paid by members, and by fines that it levies. The annual fee that each member pays includes a basic membership fee, an assessment based on gross income, a fee ...
European Court of Auditors: the European Court of Auditors performs its audits in accordance with the IFAC and INTOSAI International Auditing Standards and Codes of Ethics, in so far as these are applicable in the European Community context.
The CISI Diploma in Capital Markets, also offered by CISI, is a leading qualification [6] for practitioners working in wholesale securities markets. It comprises sequential modules in (i) financial securities, (ii) financial markets, and then (iii) a role specific selection from fixed income, derivatives, or fund management.
Uniform Investment Adviser Law Examination, also called the Series 65 exam, is a test taken by individuals in the United States who seek to become licensed investment adviser representatives. The exam covers topics necessary to provide investment advice to clients.
Financial regulation is a broad set of policies that apply to the financial sector in most jurisdictions, justified by two main features of finance: systemic risk, which implies that the failure of financial firms involves public interest considerations; and information asymmetry, which justifies curbs on freedom of contract in selected areas of financial services, particularly those that ...
In 2004, a project was begun to clarify and converge the standards with the International Standards in Auditing (ISAs). Many of the AU sections are being remapped as part of the Clarity Project. [5] In October 2011, SAS 122 was issued which superseded all previous SASes except 51, 59, 65, 87, and 117-20. [6]