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The examination requirements are the current Uniform Investment Adviser Law Examination (“Series 65”) or the General Securities Representative Examination (“Series 7”) and Uniform Combined State Law Examination (“Series 66”).
Every individual who is a broker-dealer, or a compliance supervisor, or reported agent of a broker-dealer must qualify by passing a securities examination as specified in CCR §260.217(a)(1) and should meet all applicable examination requirements of the SEC and the self-regulatory organizations of which the broker-dealer is a member. The ...
Steps to Register. Step 1: IARD System. Step 2: Funding the Daily Account. Step 3: Complete the Form ADV. Step 4: Submission of Form ADV. Step 5: Investment Adviser Representatives. Step 6: Submit Complete Application. Investment Adviser Registration Depository.
As a registered representative in California you must become licensed to sell securities through the California Department of Corporations, Securities Regulation Division before you’ll be allowed to solicit clients.
17 kwi 2020 · Having Series 9 and 10 licenses allow you to supervise sales activity around equity options, mortgage-backed securities, and municipal securities. Prior to taking these exams, you must have passed both the SIE and Series 7 exams and be sponsored by a member FINRA firm.
2 paź 2024 · The Series 63 license, known as the Uniform Securities Agent license, is required by each state where licensees conduct business. All Series 6 and Series 7 licensees must carry this license.
1 lis 2024 · Section 1422 - Application for License Under the California Financing Law; Form. (a) (1) On or after October 1, 2021, an applicant shall file an application for a license under the California Financing Law through NMLS in accordance with its procedures, as provided in section 1422.5 of these rules. (2) On or after the date in paragraph (a) (1 ...
