enow.com Web Search

Search results

1. Results from the WOW.Com Content Network

2. General Securities Principal Exam - Wikipedia

   en.wikipedia.org/wiki/General_Securities...

   The general securities principal exam, commonly referred to as the Series 24 exam, is administered by the U.S. Financial Industry Regulatory Authority (FINRA) which qualifies a registered individual to supervise or manage branch activities such as corporate securities, REITs, variable contracts, and venture capital; a general principal may also approve advertising and sales literature ...

3. List of securities examinations - Wikipedia

   en.wikipedia.org/wiki/List_of_securities...

   Series 23 – General Securities Principal (Upgrade from Series 9 and 10) 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

4. Series 7 exam - Wikipedia

   en.wikipedia.org/wiki/Series_7_Exam

   The corequisite is the Securities Industry Essentials (SIE) exam, a change FINRA enacted in 2018. [6] In October 2018, the 250-question Series 7 exam was replaced by the current top-off exam that is now taken in conjunction with the SIE exam (a correlative change was made to the Series 6 exam).

5. The Series 9/10 Exam and License - AOL

   www.aol.com/news/series-9-10-exam-license...

   The Series 9 and Series 10 exams assess the attributes a general securities sales supervisor needs for their job. They are administered by the Financial Industry Regulatory Authority (FINRA). They ...

6. Financial Industry Regulatory Authority - Wikipedia

   en.wikipedia.org/wiki/Financial_Industry...

   The NASD was founded on September 3, 1936 as Investment Bankers Conference, Inc. [9] and, on August 7, 1939, was registered under the name National Association of Securities Dealers, Inc. [10] as a national securities association with the SEC under authority granted by the 1938 Maloney Act amendments to the Securities Exchange Act of 1934, [11] which allowed it to supervise the conduct of its ...

7. What Is the Series 7 License? - AOL

   www.aol.com/news/series-7-license-191945596.html

   The Series 7 license allows professionals to sell securities in the U.S. To obtain it, they must pass a rigorous exam covering various financial topics. Financial Industry Regulatory Authority ...

8. What Is the Series 86 Exam and License? - AOL

   www.aol.com/news/series-86-exam-license...

   Passing the Series 86 exam — also known as the Research Analyst Qualification exam — is necessary for anyone who wants to work as research analyst for a broker-dealer member of the Financial ...

9. Registered representative (securities) - Wikipedia

   en.wikipedia.org/wiki/Registered_representative...

   Some state laws and broker/dealer policies also require the Series 63 examination (known as the Uniform Securities Agent State Law Exam). [ citation needed ] [ 1 ] A registered representative ("RR" or "rep" or "broker") is authorized to sell a large array of securities such as stocks, bonds, options, mutual funds, limited partnership programs ...