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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.
NEW JERSEY LICENSE & CERTIFICATION GUIDE. Occupations and business activities often require some form of registration, license or certification by the State of New Jersey. This booklet compiles, in a single document, a listing of these requirements with the appropriate agency contact.
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.
2 paź 2024 · Financial securities licenses like Series 7 and Series 63 are required by individuals who market and sell investments or securities.
