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Series 00 – General Securities Principal Exam (Discontinued) Series 1 – Registered Representative Exam (Discontinued) Series 2 – Non-Member General Securities Exam (Discontinued) Series 3 – National Commodities Futures Exam* Series 5 – Interest Rate Options Exams
All brokers and dealers registered with the SEC under 15 U.S.C. § 78o, with some exceptions, are required to be members of SIPC (pursuant to 15 U.S.C. § 78ccc) and are subject to its regulations. [4] The laws that govern the securities industry are: [5] Securities Act of 1933 – regulating distribution of new securities
Uniform Investment Adviser Law Examination, also called the Series 65 exam, is a test taken by individuals in the United States who seek to become licensed investment adviser representatives. The exam covers topics necessary to provide investment advice to clients.
Citation Technologies offers the complete Federal Register and Code of Federal Regulations (CFRs) through subscription-based web portals such as CyberRegs. [13] HeinOnline (1936–): Full coverage available dating back to 1936 in an image-based searchable PDF format. LexisNexis (July 1, 1980–): Searchable text format since 45 FR 44251.
FINRA had total revenues of US$1.34 billion in 2022. [35] [36] [5] [37] FINRA is funded primarily by assessments of member firms' registered representatives and applicants, annual fees paid by members, and by fines that it levies. The annual fee that each member pays includes a basic membership fee, an assessment based on gross income, a fee ...
The first volume of the CFR was published in 1939 with general applicability and legal effect in force June 1, 1938. [2] The Office of the Federal Register (OFR) began publishing yearly revisions for some titles in 1963 with legal effective dates of January 1 each year. By 1967 all 50 titles were updated annually and effective January 1. [3]
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Regulation S-X and the Financial Reporting Releases (Staff Accounting Bulletins) set forth the form and content of and requirements for financial statements required to be filed as a part of (a) registration statements under the Securities Act of 1933 and (b) registration statements under section 12, [2] annual or other reports under sections 13 [3] and 15(d) [4] and proxy and information ...