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  2. Securities and Exchange Commission (Philippines) - Wikipedia

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

    Civil Code of the Philippines (RA No. 386, Title IX - Partnership) Retail Trade Liberalization Act of 2000 (RA No. 8762) Foreign Investments Act of 1991 (RA No. 7402), as amended; Omnibus Investments Code of 1987 (E.O. No. 226, Book III) Securitization Act of 2004 (RA No. 9267) Anti-Dummy Law (Commonwealth Act No. 108), as amended

  3. List of securities examinations - Wikipedia

    en.wikipedia.org/.../List_of_securities_examinations

    Namibia Stock Exchange (NSX) semi-annual Stock-brokering Exams; Nigerian Stock Exchange (NSE) offers a few certificate programs including: Module 1: The role and responsibilities of compliance officers in the capital market; Module 2: Compliance risk based monitoring programmes; Module 3: Conduct of business obligations of a broker dealer firm

  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.

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  7. 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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  9. Projected College Football Playoff rankings: Predictions for ...

    www.aol.com/projected-college-football-playoff...

    Here are the latest College Football Playoff rankings predictions and projections ahead of Tuesday's latest top 25 release and CFP bracket update.