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2. Series 7 exam - Wikipedia

   en.wikipedia.org/wiki/Series_7_Exam

   The corequisite is the Securities Industry Essentials (SIE) exam, a change FINRA enacted in 2018. [6] 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).

3. List of securities examinations - Wikipedia

   en.wikipedia.org/wiki/List_of_securities...

   Series 44 – NYSE Arca Options Market Maker Exam; 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 ...

4. Series 6 exam - Wikipedia

   en.wikipedia.org/wiki/Series_6_Exam

   This exam is administered by the Financial Industry Regulatory Authority (FINRA, previously known as the NASD). In order to take the exam, an individual must be sponsored by a member firm of either FINRA or a self-regulatory organization (SRO). The cost of the exam is $40. Individuals are allowed 90 minutes to complete 50 multiple choice questions.

5. Registered representative (securities) - Wikipedia

   en.wikipedia.org/wiki/Registered_representative...

   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 ...

6. What is FINRA and what does it do? - AOL

   www.aol.com/finance/finra-does-212735083.html

   Here are the key details of FINRA, some of its benefits and how it differs from the SEC. Skip to main content. Subscriptions; Animals. Business. Entertainment. Fitness. Food. Games. Health ...

7. Financial Industry Regulatory Authority - Wikipedia

   en.wikipedia.org/wiki/Financial_Industry...

   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 ...