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SAIFM also offers the "Registered Persons" examinations, [4] required for licensing as financial market "practitioners" on the various exchanges, selecting up to 8 according to the requirements of the exchange for the specific function; the typical roles here are investment advisor and fund manager, as well as those executing transactions ...
Its functions then largely revolved around the registration of securities, analysis of every registered security, evaluation of the financial condition and operations of applicants for security issuances, screening of applications for broker’s or dealer’s license, and supervision of stock and bond brokers, and stock exchanges.
Chamber of Customs Brokers (CCB) Philippine Association of Community Development (PACD) Social Sciences. Philippine Association of Social Workers, Inc. (PASWI) Philippine Guidance Counseling Association, Inc. (PGCA) Professional Criminologist Association of the Philippines (PCAP) Psychological Association of the Philippines (PAP)
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 ...
A stockbroker is an individual or company that buys and sells stocks and other investments for a financial market participant in return for a commission, markup, or fee.In most countries they are regulated as a broker or broker-dealer and may need to hold a relevant license and may be a member of a stock exchange.
The Philippine Dealing & Exchange Corp. (PDEx) is a dealing exchange for major banks in the Philippines. The primary exchange of the country for all sectors is the Philippine Stock Exchange . PDEx is licensed by the Securities and Exchange Commission (SEC) as an Exchange under the provisions of the Securities Regulation Code (SRC).
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This is a list of notable futures exchanges. Those stock exchanges that also offer trading in futures contracts besides trading in securities are listed both here and the list of stock exchanges .