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17 lut 2016 · The Bureau of Securities administers and enforces the Uniform Securities Law (1997) (N.J.S.A. 49:3-47 et seq.), and regulations promulgated thereunder (N.J.A.C. 13:47A-1.1 et seq.) that govern the regulation and registration of securities, broker-dealers, agents of broker-dealers, investment advisers and investment adviser representatives doing ...
- Examination Requirements
Examination Requirements. 1 Other exams may qualify for...
- Examination Requirements
12 sie 2024 · Click here for important information about New Jersey examination and filing requirements and costs, as well as to obtain important forms, instructions and answers to your questions.
3 gru 2019 · Examination Requirements. 1 Other exams may qualify for agent registration. Call the Bureau for additional information. 2 Certain persons with prior experience in the securities industry may be "grandfathered." Consult the relevant Orders of the Bureau Chief for further information. 3 The Series 7 is a co-requisite with the Series 66.
NEW JERSEY LICENSE & CERTIFICATION GUIDE. Occupations and business activities often require some form of registration, license or certification by the State of New Jersey. This booklet compiles, in a single document, a listing of these requirements with the appropriate agency contact.
13 maj 2024 · The Bureau, which regulates New Jersey’s securities industry, uses the examination as a risk assessment tool for the nearly 900 investment adviser firms that manage New Jersey clients’ investment accounts.
14 cze 2023 · The Bureau, which regulates New Jersey’s securities industry, uses the examination as a risk assessment tool for the almost 900 registered investment adviser firms that manage hundreds of thousands of clients’ investment accounts in the State.
In New Jersey, the exam required to become a licensed financial advisor is called the Uniform Investment Adviser Law Examination (Series 65). This exam covers topics such as investment advice, ethics, fiduciary responsibility, and other topics related to the securities industry.
