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May 3, 2023 · Series 6. The Series 6 license is the limited-investment securities license. It allows its holders to sell "packaged" investment products such as mutual funds, variable annuities, and unit ...
Part 2: 50: $245: Series 23 – General Securities Principal – Sales Supervisor Module Exam: 2 hours and 30 minutes: 100: $105: Series 24 – General Securities Principal Exam: 3 hours and 45 minutes: 150: $175: Series 26 – Investment Company Products/Variable Contracts Limited Principal Exam: 2 hours and 45 minutes: 110: $150
BrokerCheck is a free service that helps you find and compare brokers and investment advisors. You can access their background, qualifications, and disciplinary records online or by phone. BrokerCheck is provided by FINRA, the largest independent regulator of securities firms in the US.
Series 2 - Non-Member General Securities Exam: 09/1996: Series 5 - Interest Rate Options Exam: 03/2010: Series 11 - Assistant Representative - Order Processing Exam: 09/2018: Series 12 - NYSE Branch Manager Exam: 04/1984 12/2007: Series 15 - Foreign Currency Options Exam: 11/2008: Series 17 - United Kingdom Securities Representative Exam: 09/2018
TitleEffective Dates10/2018 – present1966 – present04/1975 – present08/1980 – presentMaintaining Your Registration. Once you are registered or employed by a firm, you must comply with FINRA rules, federal and state securities regulations, and your firm’s policies to maintain your registration. FINRA provides guidance on the proper conduct of a registered representative, as well as information on your responsibilities to your ...
Apr 12, 2024 · Step 2: Determine Whether You Should Take the SIE Exam. If you plan to earn a Series 6, Series 7, Series 79 , and Series 99 , you will also have to pass the SIE. These individual licensing exams are considered “top-offs” and apply directly to the securities license you want to hold.
Apr 18, 2022 · National Association Of Securities Dealers - NASD: The National Association of Securities Dealers (NASD) was the self-regulatory organization of the securities industry responsible for the ...
