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register through the Central Registration Depository (CRD), online portal. All pertinent information is received through the CRD by the New York State Department of Law. pass the Series 63 Uniform Securities Agent State Law Exam or Series 66 Uniform Combined State Law Exam.
The Series 63 or Series 66 exam is required when working with clients in New York. The broker-dealer firm that you work for will most likely require you to take the Series 63, Uniform Securities Agent State Law Examination .
All issuers of securities shall register as Broker-Dealers by filing*: Securities Offerings: M-11 Issuer Statement. Regulation A, Tier 1 Offering [1933 Act §3(b)(1)] Public Offerings (Rule 504, Rule 505, Other Non-Covered Public Offerings) [1933 Act] Covered Securities: Form 99.
The following email about remote era licensing requirements was sent on May 22, 2020, to school secretaries by the New York City Department of Education. As you know, in order to obtain your Permanent License and fulfill the Maximum Requirements as a School Secretary you must complete the following:
10 mar 2021 · To meet the examination requirement, investment adviser representatives must achieve a passing grade on either (i) the Uniform Investment Adviser Law Examination (Series 65 Examination); or (ii) all three (3) of the following exams: (a) the Securities Industry Essentials Examination; (b) the General Securities Representative Examination (Series ...
New York’s requires that all investment adviser representative candidates register for and complete one of the following exams: The Series 65, Uniform Investment Adviser Law Examination. OR. The Series 66, Uniform Combined State Law Examination and the Series 7, General Securities Representative Examination.
New York's unique system of professional regulation, recognized as a model for public protection, has grown to encompass 800,000 practitioners and over 30,000 professional practice business entities in 50 professions.
