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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 ...
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”).
Through registration and oversight under the law, the DFPI supports a healthy and trusted financial marketplace. The Broker-Dealer and Investment Adviser Division (BDIA) reviews applications for licensure under the California Corporations Code Sections 25210 and 25230 and, if all requirements are met, applicants receive a registration approval.
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.
This simple guide will provide step-by-step instructions on state level registration with the Securities Regulation Division of the California Department of Corporations, as well as federal level registration with the Securities and Exchange Commission (SEC).
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.
HOW TO BECOME A. BUSINESS BROKER IN CALIFORNIA. Table of Contents. Introduction. Business Brokerage Career. Industry Overview & Opportunity. Licensing Requirements in CA. Compensation. Types of Businesses Sold By Business Brokers. Reasons for Hiring Business Brokers. Qualities & Skills. Business Broker Certifications.
