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A Series 6 registered individual is not a stockbroker since Series 6 license holders cannot sell stock, other corporate securities, direct participation programs (DPPs), or option products. This exam is administered by the Financial Industry Regulatory Authority (FINRA, previously known as the NASD).
Series 37 – Canada Securities Representative Exam - With Options; Series 38 – Canada Securities Representative Exam - No Options; Series 42 – Registered Options Representative Exam; Series 44 – NYSE Arca Options Market Maker Exam; Series 47 – Japanese Module of the General Securities Exam; Series 50 – Municipal Advisor ...
One hundred thirty (130) of the questions count toward whether the candidate passes or fails the Series 65 exam. The other 10 questions are pretest and could appear in any position within the exam but do not count towards the final grade. To pass the Series 65 Exam, candidates must correctly answer at least 92 of the 130 scored questions.
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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 state is currently in the 9EWZ000-9EWZ999 series, and the final plate in the current sequence — 9ZZZ999 — is expected to be issued in late 2025, DMV officials said.
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 ...
In long-awaited guidelines for SB 478, the state's ban on 'drip pricing,' Atty. Gen. Rob Bonta makes it clear that restaurants will have to include surcharges and fees in the prices on their menus.