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Individuals who pass the Series 7 are eligible to register with all self-regulatory organizations to trade. The Financial Industry Regulatory Authority (FINRA) administers the Series 7 examination. For more information, visit FINRA’s website where you can learn about the Series 7 exam and its qualification and registration process.
For example, a person seeking accredited investor status by passing the Series 65 exam would also need to be licensed as an investment adviser representative in her state and would need to comply with all state-specific licensing requirements (e.g., paying annual fees, etc.).
11 Rules 17a-2, 17a-7, 17a-8, 17a-10 and 17a-13 contain additional recordkeeping and reporting requirements that apply to broker-dealers. 12 When a broker-dealer is a member of more than one SRO, the SEC designates the SRO responsible for examining such broker-dealer for compliance with financial responsibility rules (the "designated examining ...
The Series 24 exam is designed to assess the competency of entry -level General Securities Principals . It is intended to safeguard the investing public by helping to ensure that General Securities Principals are competent to perform their jobs. Given this purpose, the Series 24 exam seeks to measure the degree to
Investment professionals in good standing holding the general securities representative license (Series 7), the investment adviser representative license (Series 65), or the private securities offerings representative license (Series 82)
Yes. By its terms, paragraph (a) of Rule 15c6-2 states that the requirements apply to the allocation, confirmation, or affirmation process for a securities transaction that is subject to the requirements of Rule 15c6-1(a). As such, the requirements of Rule 15c6-2 do not apply to securities transactions that are exempted from Rule 15c6-1.
Series 7 . 2 . PURPOSE OF THE EXAM . The Series 7 exam is designed to assess the competency of entry-level General Securities Representatives. The Series 7 exam seeks to measure the degree to which each candidate possesses the knowledge, skills and abilities needed to perform the critical functions of a General Securities Registered Representative.
The Series 57 exam seeks to measure the degree to which each candidate possesses the knowledge, skills and abilities needed to perform the critical functions of a Securities Trader. In order to obtain registration as a Securities Trader, candidates must pass both the Series 57 exam and a general knowledge co-requisite, the Securities Industry ...
Series 82. 2 . PURPOSE OF THE EXAM The Series 82 exam is designed to assess the competency of entry-level Private Securities Offerings Representatives. The Series 82 exam seeks to measure the degree to which each candidate possesses the knowledge, skills and abilities needed to perform the critical functions of a Private Securities Offerings
When that is not the case, a registered entity may contact the Examination Hotline, which is administered by the Office of Chief Counsel within the Division of Examinations in coordination with the SEC's Office of Inspector General. The Examination Hotline can be reached at 202-551-EXAM or examhotline@sec.gov. Registrants may request anonymity ...