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Licensing: Licensing refers to situations in which it is unlawful to carry out a specified range of activities for pay without first having obtained a license. This confirms that the license holder meets prescribed standards of competence. Workers who require such licenses to practice include doctors, lawyers, nurses, civil engineers, and ...
Series 47 – Japanese Module of the General Securities Exam; Series 50 – Municipal Advisor Representative Exam; Series 52 – Municipal Securities Representative Exam; Series 55 – Equity Trader – Limited Representative Exam; Series 56 – Proprietary Trader Qualification Exam; Series 57 – Securities Trader Qualification Exam [7]
The commission ignored their appeals and designated the license renewal for hearing in November 1987 on the unauthorized transfer of control issue. [24] The Boesky family began to pursue a buyer for channel 34 under the FCC's distress sale policy, [ 25 ] which permitted a station facing possible revocation of its license to a group that was ...
The Series 9 and Series 10 exams assess the attributes a general securities sales supervisor needs for their job. They are administered by the Financial Industry Regulatory Authority (FINRA). They ...
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 ...
Some states may require a written examination for a license, while others may require several years of field experience as a student or intern, or both. The requirements regarding who must be licensed may include uncommon or strange licenses; for example, four states require licensing for interior designers . [ 4 ]
Passing the Series 86 exam — also known as the Research Analyst Qualification exam — is necessary for anyone who wants to work as research analyst for a broker-dealer member of the Financial ...
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 ...