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Information for broker-dealer and securities registration. Statutory authority General Business Law (GBL), Article 23-A, section 359-e and section 359-f and Supplementing Department Regulations, New York Codes, Rules, and Regulations (NYCRR), title 13, part 10: Brokers, Dealers, and Salespersons.
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).
1 maj 2020 · This upper-level substantive course provides an overview of the federal securities laws and the work of the Securities and Exchange Commission. Recommended for the following Professional Pathways: Government/Public Sector; Corporate Transactions and Governance; Financial Services and Compliance; International Business; Real Estate and Land Use
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 ...
2 paź 2024 · Financial securities licenses like Series 7 and Series 63 are required by individuals who market and sell investments or securities.
Take the Series 6 and Series 63 New York State approved Securities License courses today. Get licensed to sell investment company products and variable life contracts such as mutual funds, closed-end funds (on the initial offering only), unit investment trusts, and variable annuities.
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.
