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To become registered, securities professionals must pass qualifying exams administered by FINRA to demonstrate their competence in the particular securities activities in which they will work. An individual must pass the exams prior to engaging in those areas of the business.
- Series 82
The Series 82 exam measures the degree to which each...
- FAQs
Yes. To become a registered representative, you must pass...
- Testing Accommodations Requests (Americans With Disabilities Act)
All testing sites are wheelchair accessible for persons with...
- Permitted Activities and Other Facts About Qualification Exams
The following pages will be useful to registration managers...
- Qualification Exam Waivers and Exemptions
FINRA may grant waivers, in exceptional cases, or exemptions...
- Frequently Asked Questions Related to Back-to-back Scheduling
The appointment times will follow one another. For example,...
- Finra Qualification and Registration Requirements Frequently Asked Questions
The FINRA qualification and registration requirements are...
- Schedule an Exam
the name of the exam or its identifying series ID (e.g.,...
- Series 82
The Series 9 and 10 qualify the branch manager to supervise sales activities in corporate securities (equity and debt), investment company products and variable contracts, municipal securities, options, government securities and direct participation programs (DPPs).
11 sty 2016 · To register as a General Securities Sales Supervisor, an individual must be registered pursuant to the NASD Rule 1030 Series as a General Securities Representative. In addition, the individual must pass the Series 9/10 examination.
25 sty 2021 · What Is Series 9/10? Series 9/10 refers to a two-part securities exam and license entitling the holder to supervise sales activities at a general securities-oriented branch office.
20 lut 2024 · W Apple Watch Series 9 pojawia się szereg usprawnień: nowy 64-bitowy dwurdzeniowy układ S9 oparty na czipie A15 Bionic, ultraszerokopasmowy czip 2. generacji, zwiększona maksymalna jasność wyświetlacza do 2000 nitów, a także innowacyjny gest dwukrotnego stuknięcia do sterowania funkcjami zegarka.
Series 9 Exam Prep Study Materials. Kaplan Financial Education's securities licensing exam prep packages provide all the necessary tools to help you prepare, practice, and perform on the FINRA® Series 9 Exam, General Securities Sales Supervisor - Options Exam.
The Series 9 exam — one of the General Securities Sales Supervisor Exams — assesses the competency of an entry-level principal, including approval of customer accounts, training of personnel, and maintenance of records.
