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Series 24 – General Securities Principal Exam; Series 26 – Investment Company and Variable Contracts Products Principal Exam; Series 27 – Financial and Operations Principal Exam; Series 28 – Financial and Operations Principal Introducing Broker Exam; Series 39 – Direct Participation Programs Principal Exam
A stockbroker is an individual or company that buys and sells stocks and other investments for a financial market participant in return for a commission, markup, or fee.In most countries they are regulated as a broker or broker-dealer and may need to hold a relevant license and may be a member of a stock exchange.
College graduates fall into this category once they have completed the state-required courses as well. California allows licensed attorneys to become brokers upon passing the broker exam without having to take the requisite courses required of an agent. Commonly more coursework and a broker's state exam on real estate law must be passed.
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A commodity broker is a firm or an individual who executes orders to buy or sell commodity contracts on behalf of the clients and charges them a commission. A firm or individual who trades for his own account is called a trader .
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The Oregon Administrative Rules is organized by chapters, with each chapter representing a government agency (Chapter 110 for example is the Capitol Planning Commission). The Office of the Legislative Counsel reviews administrative rules with regard to constitutionality and scope and intent of enabling legislation.
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