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Series 37 – Canada Securities Representative Exam - With Options; 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 ...
The Uniform Securities Agent State Law Examination, commonly referred to as the Series 63, is developed by North American Securities Administrators Association (NASAA) and is administered by the Financial Industry Regulatory Authority (FINRA). The examination is designed to qualify candidates as securities agents in the United States; nearly ...
The general securities principal exam, commonly referred to as the Series 24 exam, is administered by the U.S. Financial Industry Regulatory Authority (FINRA) which qualifies a registered individual to supervise or manage branch activities such as corporate securities, REITs, variable contracts, and venture capital; a general principal may also approve advertising and sales literature ...
Continue reading ->The post A Guide to the Series 99 License and Exam appeared first on SmartAsset Blog. They bring clients aboard, receive and deliver funds and assets, collect payments, maintain ...
If you’re planning to get a drivers license in Texas soon, you should avoid taking the driving test in July. A new study revealed that 29,877 deaths or injuries resulting from fatal crashes ...
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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.
The Limited Representative – Investment Banking Exam, commonly referred to as the Series 79, is an examination administered by the U.S. Financial Industry Regulatory Authority (FINRA) for investment banking professionals.