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Jan 20, 2023 · The Series 62 exam, also known as the Corporate Securities Qualification Examination, was an examination administered by the Financial Industry Regulatory Authority (FINRA).
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Dec 15, 2019 · The Series 62 license allowed for the trade of all stocks and bonds, warrants, rights, REITS, mortgage-backed securities, money markets and closed-end investment companies.
The FINRA Corporate Securities Limited Representative Qualification Examination (Series 62) is used to qualify individuals seeking registration with FINRA under By-Laws Article III, Section 2, and the Membership and Registration Rules.
Mar 28, 2024 · The Series 62 exam, known formally as the Corporate Securities Qualification Examination, was a regulatory requirement for individuals seeking to trade corporate securities such as stocks and bonds.
To become registered, securities professionals must pass qualifying exams administered by FINRA to demonstrate their competence in the particular securities activities in which they will work. An individual must pass the exams prior to engaging in those areas of the business.
1. What exam is required to trade certificates of deposit (CDs)? An individual associated with a firm must register with FINRA as either a General Securities Representative ( Series 7) or a Corporate Securities Representative (Series 62) to effect transactions in CDs that are structured as securities. 2.
