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1. • • 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, including the Series 7 & 63 exams, and must follow rules set out by FINRA and the SEC.
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     Registered Representative (RR): Definition, Job Description, Pay

2. People also ask

   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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   What is a registered representative (RR)?

   • Registered representatives may be employed as brokers, financial advisors, or portfolio managers. Registered representatives must pass licensing tests and are regulated by the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC). RRs must furthermore adhere to the suitability standard.

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

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

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   What does a registered representative do?

   • A registered representative is a licensed financial professional authorized to buy and sell securities on behalf of clients. Their job entails providing investment advice, executing trades, and managing client portfolios. Correction—Sep. 10, 2022: A previous version of this article misstated the requirements for the Series 7 exam.

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

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

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3. www.finra.org › registration-exams-ce › manage-yourCurrently Registered Reps | FINRA.org

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

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   This section of the website will help you understand: the requirements for taking qualifying exams. continuing education. keeping your record current. guidance on the proper conduct of a registered representative. information on your responsibilities to your firm and clients.

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

   www.finra.org › registration-exams-ce

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   Permitted Activities of Registered Representatives. Please note: The following information is intended to provide a general overview of the permitted activities of various registration categories, but it is not an exhaustive list.

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, including the...