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  2. List of securities examinations - Wikipedia

    en.wikipedia.org/wiki/List_of_securities...

    SAIFM also offers the "Registered Persons" examinations, [4] required for licensing as financial market "practitioners" on the various exchanges, selecting up to 8 according to the requirements of the exchange for the specific function; the typical roles here are investment advisor and fund manager, as well as those executing transactions ...

  3. Series 7 exam - Wikipedia

    en.wikipedia.org/wiki/Series_7_Exam

    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.

  4. Registered representative (securities) - Wikipedia

    en.wikipedia.org/wiki/Registered_representative...

    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 ...

  5. Brokers, Take Notice: Industry Watchdogs Eye Reg BI ... - AOL

    www.aol.com/brokers-notice-industry-watchdogs...

    Here's what securities brokers should know. FINRA's 2023 Examination and Risk-Monitoring Report. Brokers, Take Notice: Industry Watchdogs Eye Reg. BI Compliance.

  6. Stockbroker - Wikipedia

    en.wikipedia.org/wiki/Stockbroker

    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.

  7. United States securities regulation - Wikipedia

    en.wikipedia.org/wiki/United_States_Securities...

    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 ...

  8. Broker-dealer - Wikipedia

    en.wikipedia.org/wiki/Broker-dealer

    In financial services, a broker-dealer is a natural person, company or other organization that engages in the business of trading securities for its own account or on behalf of its customers. Broker-dealers are at the heart of the securities and derivatives trading process.

  9. Series 6 exam - Wikipedia

    en.wikipedia.org/wiki/Series_6_Exam

    In the United States, the investment company products/variable life contracts representative exam, is commonly referred to as the Series 6 exam.Individuals passing this multiple choice exam are licensed to sell a limited set of securities products: