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The Uniform Combined State Law Examination also called the Series 66 exam is designed to qualify candidates as both securities agents and investment adviser representatives in the United States. It was developed by North American Securities Administrators Association (NASAA) and operated by the Financial Industry Regulatory Authority (FINRA).
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.
NASAA's fundamental mission is protecting consumers who purchase securities or investment advice, and its jurisdiction extends to a wide variety of issuers and intermediaries who offer and sell securities to the public. Through the association, NASAA members participate in multi-state enforcement actions and information sharing. NASAA also ...
The Uniform Securities Agent State Law Examination, commonly referred to as the Series 63, is developed by North American Securities Administrators Association (NASAA) and is administered by the Financial Industry Regulatory Authority (FINRA). The examination is designed to qualify candidates as securities agents in the United States; nearly ...
Here's a look at where rain, snow, even fog could slow you down if you're traveling around the New Year's holiday.
WASHINGTON (Reuters) -China-based DJI and Autel Robotics could be banned from selling new drones in the United States market under an annual military bill set to be voted on later this week by the ...
PARIS (Reuters) -Iran's acceleration in its enrichment of uranium to close to bomb grade is "extremely serious", has no civilian justification and contradicts Tehran's assertions on wanting ...
Interactive Forms is a mechanism to add forms to the PDF file format. PDF currently supports two different methods for integrating data and PDF forms. Both formats today coexist in the PDF specification: [37] [52] [53] [54] AcroForms (also known as Acrobat forms), introduced in the PDF 1.2 format specification and included in all later PDF ...