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Examination requirements for investment advisers and investment adviser representatives. (a) Examination requirements. To be registered as an investment adviser or investment adviser representative under the act, an individual shall meet one of the following examination requirements:
The department’s examiner may address the following topics, at a minimum, when conducting an examination in order to ascertain whether a licensed organization is compliant with the PSA and related statements of policy, regulations, and other rules: Advertising; Advertising Performance; Books and Records; Client Performance Reporting
2 mar 2024 · To be registered as an investment adviser or investment adviser representative under the act, an individual shall meet one of the following examination requirements: (1) The individual, on or after January 1, 2000, and within 2 years immediately before the date of filing an application with the Department, received a passing grade on The ...
The state of Pennsylvania requires that IAR candidates complete at least one of the following exam scenarios: The Series 65, Uniform Investment Adviser Law Examination; OR. The Series 7, General Securities Representative Examination, in combination with the Series 66, Uniform Combined State Law Examination; Register:
12 kwi 2024 · These are the most common securities licenses. You can find a more comprehensive list at the FINRA and NASAA websites. Keep in mind that to earn some of these licenses, like the Series 6 and Series 7, you will need to be sponsored by or work for a broker-dealer.
Financial & Bonding Requirements. Any IA requesting registration in Pennsylvania must be solvent. In addition, an IA with discretion must have a minimum net worth of $10,000 and provide an unaudited (prepared in accordance with GAAP) no older than 45 days from the date of filing the application.
2 paź 2024 · Financial securities licenses like Series 7 and Series 63 are required by individuals who market and sell investments or securities.
