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   What does a FINRA representative do?

   • They work for broker-dealers and mostly trade securities, such as mutual funds, stocks, and bonds. All hold licenses granted by the Financial Industry Regulatory Authority (FINRA), a self-regulatory organization with federal authority to oversee the brokerage industry. FINRA also must sponsor any the financial firm a representative works for.

   All About Registered Representatives -SmartAsset | SmartAsset

   smartasset.com/investing/registered-representative

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   How do I become a FINRA registered representative?

   • In order to become a registered representative, you must be sponsored by a FINRA-registered brokerage firm and also be licensed to sell securities. In order to gain the General Securities License, you must pass the SIE exam and the FINRA Series 7 exam.

   Registered Representative (RR): Definition, Job Description, Pay

   www.investopedia.com/terms/r/registeredrepresentative.asp

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   Do broker-dealers have to register with FINRA?

   • With few exceptions, broker-dealer firms must register with the Securities and Exchange Commission and be members of FINRA. Individual registered representatives, or registered financial professionals, must register with FINRA, pass a qualifying exam and be licensed by your state securities regulator before they can do business with you.

   Registered Financial Professionals | FINRA.org

   www.finra.org/investors/investing/working-with-investment-professional/registered-financial-professionals

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   How do I reregister as a FINRA member?

   • If you return to a FINRA member between two and four years from the date of termination on your Form U5, you can reregister as a General Securities Representative by passing the General Securities Representative examination ( Series 7) or by obtaining a waiver of that examination (i.e., you will not have to pass the SIE examination).

   FINRA Qualification and Registration Requirements Frequently Asked

   www.finra.org/registration-exams-ce/qualification-exams/registration-requirements-faq

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2. www.finra.org › registration-exams-cePermitted Activities of Registered Representatives | FINRA.org

   www.finra.org › registration-exams-ce

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   Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks.

   • Registered Financial Professionals

     Individual registered representatives, or registered...

   • Currently Registered Reps

     For individuals who are currently registered reps or...

3. www.finra.org › registration-exams-ce › manage-yourObligations to Your Firm | FINRA.org

   www.finra.org › registration-exams-ce › manage-your

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   As a registered representative, whether you are an employee or an “independent contractor” (for regulatory purposes there is no distinction between the two terms), you are obligated to follow all applicable securities laws and regulations.

4. www.finra.org › registration-exams-ceFINRA Qualification and Registration Requirements Frequently ...

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   • Former, Current and Future Registrants. 1.1 Our firm is considering whether, on or after October 1, 2018, to reregister as representatives several individuals whose registrations were last terminated prior to October 1, 2018.
   • Permissive Registrations. 2.1 An individual registered as a Research Principal and working in our research department will be fully transferring to our parent company, a broker-dealer in Germany, at some point after October 1, 2018.
   • Financial Services Affiliate Waiver Program. Note: The Financial Services Affiliate Waiver Program (FSAWP) stopped accepting new participants on March 15, 2022.
   • Principal Financial Officer and Principal Operations Officer. 4.1 Our firm is an introducing broker-dealer. We have designated an individual as our Financial and Operations Principal (FINOP) to carry out the financial and operational responsibilities specified in FINRA Rule 1220(a)(4)(A).

5. www.investopedia.com › terms › rRegistered Representative (RR): Definition, Job Description, Pay

   www.investopedia.com › terms › r

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   Apr 8, 2024 · A registered representative (RR) is a financial professional who is able to deal with client transactions in the securities markets. RRs must pass strict licensing requirements,...

6. smartasset.com › investing › registered-representativeAll About Registered Representatives -SmartAsset | SmartAsset

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   Aug 30, 2023 · All hold licenses granted by the Financial Industry Regulatory Authority (FINRA), a self-regulatory organization with federal authority to oversee the brokerage industry. FINRA also must sponsor any the financial firm a representative works for.