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Series 38 – Canada Securities Representative Exam - No Options; Series 42 – Registered Options Representative Exam; 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
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
An individual employed by an investment firm must complete the National Institute of Securities Markets (NISM) exam and apply to SEBI for registration as an Investment Advisor. [15] Stock market advisory and research services are highly regulated in India. Only SEBI registered stock advisory and investment research analysts are allowed to do so.
Its mandate is to regulate and supervise the practice of professionals (except lawyers, who are handled by the Supreme Court of the Philippines) who constitute the highly skilled manpower of Philippines. As the agency-in-charge of the professional sector, the PRC plays a strategic role in developing the corps of professionals for industry ...
The Series 7 is a three-hour, forty-five-minute exam. [1] It is held in one four-hour session. There are 125 questions on the test. Candidates have to score at least 72% to pass. The SIE Exam and the Series 7 Exam are co-requisite exams. [9] Average study time is between 80 and 150 hours depending on current financial knowledge. [10]
vehicle register (such as those for motor vehicles, rolling stock, boat or ships, or aircraft) — includes entries containing data on vehicle identification number, vehicle registration plate number, vehicle title, type approval, vehicle inspections, liability insurance, as well as vehicle liens, such as maritime liens, and which sometimes may ...
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 ...
Although broker-dealers often provide investment advice to their clients, in many situations they are exempt from registration under the U.S. Investment Advisers Act of 1940, so long as (i) the investment advice is "solely incidental" to brokerage activities; and (ii) the broker-dealer receives no "special compensation" for providing the ...