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In the United States, the Series 7 exam, also known as the General Securities Representative Exam (GSRE), is a test for entry-level registered representatives, that demonstrates competency to buy or sell security products such as corporate securities, municipal securities, options, direct participation programs, investment company products and variable contracts.
Series 10 – General Securities Sales Supervisor Exam – General Module; Series 12 – NYSE Branch Manager; Series 14 – NYSE Compliance Officer; Series 14A – NYSE DMM Compliance Official Examination; Series 16 – NYSE Supervisory Analyst; Series 23 – General Securities Principal (Upgrade from Series 9 and 10) Series 24 – General ...
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.
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 ...
Here are the key details of FINRA, some of its benefits and how it differs from the SEC.
Series 7 may refer to: The seventh season of any of many shows or series; see All pages with titles containing Season 7 and All pages with titles containing Series 7; Series 7 exam, officially the General Securities Representative Exam, the most comprehensive financial securities exam offered by the FINRA; Series 7: The Contenders, a
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