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FINRA has approximately 4,200 employees and operates from Washington, D.C., and New York City, with 20 regional offices around the United States. [5] FINRA offers regulatory oversight over all securities firms that do business with the public, plus those offering professional training, testing, and licensing of registered persons, arbitration ...
The following is a list of the U.S. Financial Industry Regulatory Authority (FINRA), NASAA, and National Futures Association (NFA) financial securities examinations. Most FINRA examinations are divided into two categories: Registered Representative and Registered Principal levels.
The CISI Diploma in Capital Markets, also offered by CISI, is a leading qualification [6] for practitioners working in wholesale securities markets. It comprises sequential modules in (i) financial securities, (ii) financial markets, and then (iii) a role specific selection from fixed income, derivatives, or fund management.
FINRA oversees around 3,400 securities firms with about 150,000 branch offices. This includes about 612,000 registered securities professionals as of 2021. FINRA itself has 19 offices across the U ...
In the United States, the investment company products/variable life contracts representative exam, is commonly referred to as the Series 6 exam. Individuals passing this multiple choice exam are licensed to sell a limited set of securities products: Mutual funds; Closed-end funds on the initial offering only; Unit investment trusts; Variable ...
In the United States, the Series 7 exam, also known as the General Securities Representative Exam (GSRE), is a test for entry-level registered representatives, that demonstrates competency to buy or sell security products such as corporate securities, municipal securities, options, direct participation programs, investment company products and variable contracts.
The fee increases, which kick in Sept. 1, could amount to more than $3.5 million annually and are aimed at non-retail trades reported to a facility run by Nasdaq and the Financial Industry ...
The examination is designed to qualify candidates as securities agents in the United States; nearly all states require individuals to pass the Series 63 as a condition of state registration. The Uniform Securities Agent State Law Examination consists of 65 multiple-choice questions. Applicants are allowed 75 minutes to complete the examination.