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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) Series 11 – Assistant Representative – Order Processing; Series 15 – Foreign ...
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.
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 .
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]
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.
Founded in 1978, the firm was known as the Farmers Commodities Corporation until 2002. StoneX Group Inc. (previously FCStone Group) provided integrated risk management services such as market intelligence and analysis to help commodity traders in industries like agriculture, renewable fuels, energy, food service, carbon credits, and forest ...
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Broker-dealers are at the heart of the securities and derivatives trading process. [1] Although many broker-dealers are "independent" firms solely involved in broker-dealer services, many others are business units or subsidiaries of commercial banks, investment banks or investment companies.