Ads
related to: series 3 nasd practice mathmo-media.com has been visited by 10K+ users in the past month
Search results
Results from the WOW.Com Content Network
Series 47 – Japanese Module of the General Securities Exam; Series 50 – Municipal Advisor Representative Exam; Series 52 – Municipal Securities Representative Exam; Series 55 – Equity Trader – Limited Representative Exam; Series 56 – Proprietary Trader Qualification Exam; Series 57 – Securities Trader Qualification Exam [7]
One hundred thirty (130) of the questions count toward whether the candidate passes or fails the Series 65 exam. The other 10 questions are pretest and could appear in any position within the exam but do not count towards the final grade. To pass the Series 65 Exam, candidates must correctly answer at least 92 of the 130 scored questions.
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.). In order to take the exam, an individual must be sponsored by a member firm of either FINRA or a self-regulatory organization (SRO). [7]
A Series 6 registered individual is not a stockbroker since Series 6 license holders cannot sell stock, other corporate securities, direct participation programs (DPPs), or option products. This exam is administered by the Financial Industry Regulatory Authority (FINRA, previously known as the NASD).
Get AOL Mail for FREE! Manage your email like never before with travel, photo & document views. Personalize your inbox with themes & tabs. You've Got Mail!
The Limited Representative – Investment Banking Exam, commonly referred to as the Series 79, is an examination administered by the U.S. Financial Industry Regulatory Authority (FINRA) for investment banking professionals.
Shippers are seeking to fill thousands of jobs for the holiday season. Here's where to find them
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).
Ads
related to: series 3 nasd practice mathmo-media.com has been visited by 10K+ users in the past month