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Some state laws and broker/dealer policies also require the Series 63 examination (known as the Uniform Securities Agent State Law Exam). [ citation needed ] [ 1 ] A registered representative ("RR" or "rep" or "broker") is authorized to sell a large array of securities such as stocks, bonds, options, mutual funds, limited partnership programs ...
In the United States, the Series 7 exam, also known as the General Securities Representative Exam (GSRE), is a test for entry-level registered representatives, that demonstrates competency to buy or sell security products such as corporate securities, municipal securities, options, direct participation programs, investment company products and variable contracts.
A stockbroker is an individual or company that buys and sells stocks and other investments for a financial market participant in return for a commission, markup, or fee.In most countries they are regulated as a broker or broker-dealer and may need to hold a relevant license and may be a member of a stock exchange.
Previously elected to the Maryland House of Delegates; later elected attorney general of Maryland [3] [4] — Milton Whitney Sr. January 8, 1856 – 1861 Unknown [5] [6] — Archibald Stirling Sr. 1861 – 1863 Unconditional Union [6] John Lewis Thomas Jr. 1863 – 1865 Unconditional Union: Later elected to the U.S. House of Representatives [6 ...
A stock trader or equity trader or share trader, also called a stock investor, is a person or company involved in trading equity securities and attempting to profit from the purchase and sale of those securities. [1] [2] Stock traders may be an investor, agent, hedger, arbitrageur, speculator, or stockbroker.
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The Securities Act of 1933 regulates the distribution of securities to public investors by creating registration and liability provisions to protect investors. With only a few exemptions, every security offering is required to be registered with the SEC by filing a registration statement that includes issuer history, business competition and material risks, litigation information, previous ...
The Maryland State Bar Association (MSBA) is a voluntary bar association for the state of Maryland. [6]The association's mission is "to effectively represent Maryland’s lawyers, to provide member services, and to promote professionalism, diversity in the legal profession, access to justice, service to the public and respect for the rule of law."