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The corequisite is the Securities Industry Essentials (SIE) exam, a change FINRA enacted in 2018. [6] In October 2018, the 250-question Series 7 exam was replaced by the current top-off exam that is now taken in conjunction with the SIE exam. (A correlative change was made to the Series 6 exam.).
Series 57 – Securities Trader Qualification Exam [7] Series 62 – Corporate Securities – Limited Representative Exam (Discontinued) Series 63 – Uniform ...
A score of at least 73% on the Series 66 exam is needed to pass and become eligible for registration as a Registered Investment Adviser Representative. Prior to July 1, 2016, candidates had to attain scores of 75% in order to pass and prior to January 1, 2010, candidates had to attain scores of 71% in order to pass.
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 ...
The Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) have both issued warnings about variable annuities over the years. The SEC highlights the cost ...
The Los Angeles police and fire departments' expenses for working during the Dodgers' World Series parade totaled $2,028,805.19. ... It cost $1.7 million to have the LAPD work — and wear Dodgers ...
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