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The Securities Commission of Malaysia (Suruhanjaya Sekuriti Malaysia) provides an overview of licensing/certification in the country for those who deal in securities, derivatives, financial planning, etc. For actual exam detail, see SIDC. Module 6: Stock Market and Securities Law; Module 7: Financial Statement Analysis and Asset Valuation
The Nationwide Multi-State Licensing System and Registry (NMLS) (originally the Nationwide Mortgage Licensing System) is the system of record for non-depository, financial services licensing or registration in participating state agencies, including the District of Columbia and U.S. Territories of Puerto Rico, the U.S. Virgin Islands, and Guam.
Other brokers and agents may focus on representing buyers or tenants in a real estate transaction. However, licensing as a broker or salesperson authorizes the licensee to legally represent parties on either side of a transaction and providing the necessary documentation for the legal transfer of real property.
The North American Securities Administrators Association (NASAA), founded in Kansas in 1919, is the oldest international investor protection organization. NASAA is an association of state securities administrators who are charged with the responsibility to protect consumers who purchase securities or investment advice.
The New York State Legislature unanimously confirmed Benjamin M. Lawsky on May 24, 2011, as New York State's first Superintendent of Financial Services. [9] From May 24, 2011, until October 3, 2011, Lawsky also was appointed, and served as, Acting Superintendent of Banks for the former New York State Banking Department. [9]
The hefty one-time payments, known as broker fees, are ubiquitous in New York but nearly unheard of anywhere else. In most other cities, landlords cover the commission of agents working on their ...
Chapman in 2005. Max Carrol Chapman Jr. (born 1935 in Portsmouth, Virginia) [1] is a billionaire American businessman and philanthropist. He was the former President and CEO of Kidder, Peabody & Co., the investment banking and broker-dealer subsidiary of the parent, Kidder, Peabody Group, Inc.
The North Carolina Utilities Commission is a government agency that regulates the various utilities of the state of North Carolina. The Commission also regulates household goods transportation, buses, brokers and ferryboats. The Commission consists of seven members, including the chair of the Commission.