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17 lut 2016 · The Bureau of Securities administers and enforces the Uniform Securities Law (1997) (N.J.S.A. 49:3-47 et seq.), and regulations promulgated thereunder (N.J.A.C. 13:47A-1.1 et seq.) that govern the regulation and registration of securities, broker-dealers, agents of broker-dealers, investment advisers and investment adviser representatives doing ...
12 sie 2024 · Click here for important information about New Jersey examination and filing requirements and costs, as well as to obtain important forms, instructions and answers to your questions.
To become a licensed registered representative in New Jersey you must register through the Financial Industry Regulatory Authority (FINRA)’s Central Registration Depository (CRD). When this registration is complete, you will be allowed to buy and sell securities on behalf of New Jersey residents.
2 paź 2024 · Financial securities licenses like Series 7 and Series 63 are required by individuals who market and sell investments or securities.
In New Jersey, the exam required to become a licensed financial advisor is called the Uniform Investment Adviser Law Examination (Series 65). This exam covers topics such as investment advice, ethics, fiduciary responsibility, and other topics related to the securities industry.
15 cze 2022 · The Bureau, which regulates New Jersey’s securities industry, uses the examination as a risk assessment tool for the almost 900 registered registered investment adviser firms that manage hundreds of thousands of clients’ investment accounts in the State.
