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Series 26 – Investment Company and Variable Contracts Products Principal Exam; Series 27 – Financial and Operations Principal Exam; Series 28 – Financial and Operations Principal Introducing Broker Exam; Series 39 – Direct Participation Programs Principal Exam; Series 51 – Municipal Fund Securities Limited Principal
College graduates fall into this category once they have completed the state-required courses as well. California allows licensed attorneys to become brokers upon passing the broker exam without having to take the requisite courses required of an agent. Commonly more coursework and a broker's state exam on real estate law must be passed.
The New Jersey Department of Banking and Insurance (DOBI) is one of 15 principal departments in New Jersey government. The department's mission is to regulate the banking, insurance and real estate industries in a professional and timely manner that protects and educates consumers and promotes the growth, financial stability and efficiency of these industries. [1]
The broker always seeks to sell their inventory to prospective buyers rather than buying new into the market. Such practice is common in bond sales. In the US, The Securities and Exchange Commission oversees principal trading at registered advisors and funds for compliance with Investment Company Act of 1940 [Section 17(a)] and with the ...
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An IA must adhere to a fiduciary standard of care laid out in the US Investment Advisers Act of 1940.This standard requires IAs to act and serve a client's best interests with the intent to eliminate, or at least to expose, all potential conflicts of interest which might incline an investment adviser—consciously or unconsciously—to render advice which was not in the best interest of the IA ...
A real estate license is an authorization issued by a government body to give agents and brokers the legal authority to represent a home seller or buyer in a real estate transaction. Real estate agents and real estate brokers are required to be licensed when conducting real estate transactions in the United States and in a small number of other ...
It is Oregon's licensing agency for all educators. [2] The agency approves teacher preparation programs offered by Oregon colleges and universities; licenses teachers, administrators and other personnel employed in Oregon schools; and takes disciplinary actions when educators commit crimes or violate competent and ethical performance standards. [2]
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