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Series 57 – Securities Trader Qualification Exam [7] Series 62 – Corporate Securities – Limited Representative Exam (Discontinued) Series 63 – Uniform Securities Agent State Law Exam *. Series 65 – Uniform Investment Adviser Law Exam *. Series 66 – Uniform Combined State Law Exam (Combined 63 and 65)*.
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 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 ...
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).
A registered representative, also called a general securities representative, a stockbroker, or an account executive, is an individual who is licensed to sell securities and has the legal power of an agent in the United States . Registered representatives usually work for broker/dealers licensed by the U.S. Securities and Exchange Commission ...
The Financial Industry Regulatory Authority is the largest independent regulator for all securities firms doing business in the United States. FINRA's mission is to protect investors by making sure the United States securities industry operates fairly and honestly. As of October 2023, FINRA oversaw 3,394 brokerage firms, 149,887 branch offices ...
Examination. The Uniform Investment Adviser Law Examination consists of 130 questions plus 10 pretest questions that cover topics applicants must know to provide investment advice to clients. Applicants have 180 minutes to complete the examination, and must answer at least 94 (72%) of the questions correctly to pass the Series 65 exam. [3]
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 ...
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