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The general securities principal exam, commonly referred to as the Series 24 exam, is administered by the U.S. Financial Industry Regulatory Authority (FINRA) which qualifies a registered individual to supervise or manage branch activities such as corporate securities, REITs, variable contracts, and venture capital; a general principal may also approve advertising and sales literature ...
Series 4 – Registered Options Principal Exam; Series 8 – General Securities Sales Supervisor Exam – Options Module & General Module (Discontinued) Series 9 – General Securities Sales Supervisor Exam – Options; Series 10 – General Securities Sales Supervisor Exam – General Module; Series 12 – NYSE Branch Manager
An exam invigilator, exam proctor or exam supervisor is someone appointed by an educational institution or an examination board to maintain proper conduct in a particular examination in accordance with exam regulations. Typically, the main duty of an exam invigilator is to watch examination candidates to prevent cheating. [1]
The Series 7 is a three-hour, forty-five-minute exam. [1] It is held in one four-hour session. There are 125 questions on the test. Candidates have to score at least 72% to pass. The SIE Exam and the Series 7 Exam are co-requisite exams. [9] Average study time is between 80 and 150 hours depending on current financial knowledge. [10]
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The Supervisory Practice Test was to point out whether or not supervisors could handle certain situations on the job. This test is said to effectively identify who could and could not be a supervisor. [9] The situational judgement test did not really take off and become a great use in the employment field until the early 1990s. [9]
Dodd–Frank Act supervisory stress testing; The core part of the program assesses whether: BHCs possess adequate capital. The capital structure is stable given various stress-test scenarios. Planned capital distributions, such as dividends and share repurchases, are viable and acceptable in relation to regulatory minimum capital requirements.