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The State Examinations Commission is a State body established by statutory order on 6 March 2003. [2] The Commission assumed responsibility for the operation of the State Certificate Examinations from the Department of Education. The State Examinations Commission has an online system which allows examination candidates to view their results on ...
In the United States, the Series 7 exam, also known as the General Securities Representative Exam (GSRE), is a test for entry-level registered representatives, that demonstrates competency to buy or sell security products such as corporate securities, municipal securities, options, direct participation programs, investment company products and variable contracts.
Series 62 – Corporate Securities – Limited Representative Exam (Discontinued) Series 63 – Uniform Securities Agent State Law Exam *. Series 65 – Uniform Investment Adviser Law Exam *. Series 66 – Uniform Combined State Law Exam (Combined 63 and 65)*. Series 72 – Government Securities – Limited Representative.
t. e. The U.S. Securities and Exchange Commission (SEC) is an independent agency of the United States federal government, created in the aftermath of the Wall Street Crash of 1929. [ 2 ][ 3 ][ 4 ] The primary purpose of the SEC is to enforce the law against market manipulation. [ 5 ][ 6 ]: 2. In addition to the Securities Exchange Act of 1934 ...
The general securities principal exam, commonly referred to as the Series 24 exam, is administered by the U.S. Financial Industry Regulatory Authority (FINRA) which qualifies a registered individual to supervise or manage branch activities such as corporate securities, REITs, variable contracts, and venture capital; a general principal may also approve advertising and sales literature ...
Examination. The Uniform Investment Adviser Law Examination consists of 130 questions plus 10 pretest questions that cover topics applicants must know to provide investment advice to clients. Applicants have 180 minutes to complete the examination, and must answer at least 94 (72%) of the questions correctly to pass the Series 65 exam. [3]
The Uniform Combined State Law Examination consists of 100 multiple-choice questions and 10 pretest questions. Applicants are allowed 2½ hours (150 minutes) to complete the examination. The examination is conducted as a closed-book test. Upon completion of the examination, the score for each section and the overall test score will be processed ...
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 and variable annuities. Registered representatives who sell variable products such as variable annuities or variable universal life insurance policies typically also ...