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The Uniform Securities Agent State Law Examination consists of 65 multiple-choice questions. Applicants are allowed 75 minutes to complete the examination. Applicants must attain scores of 72% in order to pass. Credit is only given for correct answers. Of the 65 questions on the exam, 60 will count toward the final score.
FINRA. The Financial Industry Regulatory Authority (FINRA) is a private American corporation that acts as a self-regulatory organization (SRO) that regulates member brokerage firms and exchange markets. FINRA is the successor to the National Association of Securities Dealers, Inc. (NASD) as well as to the member regulation, enforcement, and ...
Series 62 – Corporate Securities – Limited Representative Exam (Discontinued) Series 63 – Uniform Securities Agent State Law Exam *. Series 65 – Uniform Investment Adviser Law Exam *. Series 66 – Uniform Combined State Law Exam (Combined 63 and 65)*. Series 72 – Government Securities – Limited Representative.
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: Mutual funds. Closed-end funds on the initial offering only.
California Gov. Gavin Newsom on the first night of the Democratic National Convention in Chicago on Aug. 19. California Gov. Gavin Newsom signed two bills Tuesday aimed at protecting actors and ...
September 1, 2024 at 10:40 AM. Some jobs just don't pay what they used to. Data from ZipRecruiter shows the wages employers are offering new hires in several blue-collar sectors of the labor ...
Registered investment adviser. A registered investment adviser (RIA) is a firm that is an investment adviser in the United States, registered as such with the Securities and Exchange Commission (SEC) or a state's securities agency. The numerous references to RIAs within the Investment Advisers Act of 1940 popularized the term, which is closely ...
[2] [3] [4] The primary purpose of the SEC is to enforce the law against market manipulation. [ 5 ] [ 6 ] : 2 In addition to the Securities Exchange Act of 1934 , which created it, the SEC enforces the Securities Act of 1933 , the Trust Indenture Act of 1939 , the Investment Company Act of 1940 , the Investment Advisers Act of 1940 , the ...