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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)*. Series 72 – Government Securities – Limited Representative.
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 NASD was founded on September 3, 1936 as Investment Bankers Conference, Inc. and, on August 7, 1939, was registered under the name National Association of Securities Dealers, Inc. as a national securities association with the SEC under authority granted by the 1938 Maloney Act amendments to the Securities Exchange Act of 1934, which allowed it to supervise the conduct of its members ...
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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 ...
Series 6 or Series 7 license from FINRA (specifically for variable annuities) Being licensed ensures that you adhere to regulatory standards and demonstrate your competence to your clients, which ...
A variable annuity is a contract between you and an insurance company. It allows you to grow your retirement savings and receive a steady stream of payments later. Like all annuities, you agree to ...
The National Student Loan Data System (NSLDS) Login page enables authorized users to log into the NSLDS Professional Access Website; using their FSA User ID and Password. On this page, there are three selectable cards displayed and a link the Official Cohort Default Rate Searchable Database. The Sign-Up Information card directs the user to the ...