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26 gru 2023 · The FINRA Series 8 license, officially known as the General Securities Sales Supervisor Qualification Examination (GS), is a regulatory requirement for individuals supervising the sales activities of general securities representatives.
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.
30 maj 2024 · Explore our detailed guide on navigating FINRA exams, covering all 32 licenses, requirements, and permitted activities for securities professionals in the industry.
Here you’ll find detailed step-by-step instructions on how to become a stockbroker in New York by securing the necessary license and becoming registered with a self-regulatory authority recognized by the Securities and Exchange Commission (SEC).
Start by determining which license type you'll need. For instance, if you are an Insurance Agent or a CPA, you might need to sell only mutual funds or annuities. If you want to be a stockbroker, you'll need to get a Series 7 license, as you can't sell securities at a brokerage firm without being Series 7 licensed.
12 kwi 2024 · Below are five steps to getting a securities license. Step 1: Get to Know FINRA and NASAA—If You Haven’t Already. Financial Industry Regulatory Authority is the organization in charge of securities licensing and requirements, and it also administers most of the exams you’ll need to pass to get your license. FINRA also keeps all securities ...
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.
