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  2. List of securities examinations - Wikipedia

    en.wikipedia.org/.../List_of_securities_examinations

    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 ...

  3. Securities and Exchange Commission (Philippines) - Wikipedia

    en.wikipedia.org/wiki/Securities_and_Exchange...

    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.

  4. Registered representative (securities) - Wikipedia

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

    To become a registered representative in the United States, one must be sponsored by a broker/dealer firm and must pass the FINRA-administered Series 7 examination (known as the General Securities Representative Exam) or another Limited Representative Qualifications Exam. Some state laws and broker/dealer policies also require the Series 63 ...

  5. Stockbroker - Wikipedia

    en.wikipedia.org/wiki/Stockbroker

    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.

  6. Series 7 exam - Wikipedia

    en.wikipedia.org/wiki/Series_7_Exam

    In the United States, the Series 7 exam, also known as the General Securities Representative Exam (GSRE), is a test for entry-level registered representatives, that demonstrates competency to buy or sell security products such as corporate securities, municipal securities, options, direct participation programs, investment company products and ...

  7. College Football Playoff picks: SMU, Clemson, Vols, Hoosiers ...

    www.aol.com/college-football-playoff-picks-smu...

    Welcome to the new-look postseason, where the path to the national championship begins at campus sites for eight of the 12 teams in the College Football Playoff. Snow showers are forecast to give ...

  8. Border agents brace for shutdown, work without pay during ...

    www.aol.com/border-agents-brace-shutdown-without...

    EL PASO, Texas – If the federal government shuts down Friday, U.S. border crossings will stay open and border agents will keep working through the holidays – without pay, at least temporarily. ...

  9. Philippine Dealing Exchange - Wikipedia

    en.wikipedia.org/wiki/Philippine_Dealing_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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