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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
The NASD was founded on September 3, 1936 as Investment Bankers Conference, Inc. [9] and, on August 7, 1939, was registered under the name National Association of Securities Dealers, Inc. [10] as a national securities association with the SEC under authority granted by the 1938 Maloney Act amendments to the Securities Exchange Act of 1934, [11] which allowed it to supervise the conduct of its ...
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.
An IA must adhere to a fiduciary standard of care laid out in the US Investment Advisers Act of 1940.This standard requires IAs to act and serve a client's best interests with the intent to eliminate, or at least to expose, all potential conflicts of interest which might incline an investment adviser—consciously or unconsciously—to render advice which was not in the best interest of the IA ...
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Municipal fund securities principal – Series 51; Financial and operations principal – Series 27; Introducing broker/dealer financial and operations principal – Series 28; The Series 24 Exam is made up of 150 questions. Candidates have up to 3.5 hours to take the exam. 70% (105 correct answers) is considered a passing grade. In order to ...
Prior to July 1, 2016, candidates had to attain scores of 75% in order to pass and prior to January 1, 2010, candidates had to attain scores of 71% in order to pass. Note: the General Securities Representative Examination (Series 7) is a corequisite exam that needs to be successfully completed in addition to the Series 66 exam before a ...