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Series 2 – Non-Member General Securities Exam (Discontinued) Series 3 – National Commodities Futures Exam* Series 5 – Interest Rate Options Exams; Series 6 – Investment Company and Variable Contracts Exam (Mutual Funds Broker/Variable Annuities) Series 7 – General Securities Representative Exam (Stockbroker)
The Texas Department of Licensing and Regulation (TDLR) is a state agency of Texas. TDLR is responsible for licensing and regulating a broad range of occupations, businesses, facilities, and equipment in Texas. [1] TDLR has its headquarters in the Ernest O. Thompson State Office Building in Downtown Austin. [2] [3]
A commodity broker is a firm or an individual who executes orders to buy or sell commodity contracts on behalf of the clients and charges them a commission. A firm or individual who trades for his own account is called a trader .
Some state laws and broker/dealer policies also require the Series 63 examination (known as the Uniform Securities Agent State Law Exam). [ citation needed ] [ 1 ] A registered representative ("RR" or "rep" or "broker") is authorized to sell a large array of securities such as stocks, bonds, options, mutual funds, limited partnership programs ...
The best brokerage account depends on your needs, like trading frequency, investment types and user experience. Some of the top brokerage accounts to consider are E-Trade, Charles Schwab and Fidelity.
The Texas State Securities Board is a Texas state agency headquartered in Austin, Texas. The board enforces the Texas Securities Act (TEX. REV. CIV. STAT. ANN. art. 581–1) and maintains programs for enforcement, registration of securities, registration of securities dealers, investment advisers, and agents, and inspections of registered firms.
NFA chief responsibilities include registering firms and individuals who want to do business in the derivatives industry, monitoring trades, taking disciplinary actions against members who don't follow the rules, creating rules and best practices, providing member education through workshops, webinars and conferences, mediating member and customer disputes, and providing investor education and ...
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