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2. General Securities Principal Exam - Wikipedia

   en.wikipedia.org/wiki/General_Securities...

   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 ...

3. List of securities examinations - Wikipedia

   en.wikipedia.org/wiki/List_of_securities...

   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.

4. Financial Industry Regulatory Authority - Wikipedia

   en.wikipedia.org/wiki/Financial_Industry...

   The Financial Industry Regulatory Authority is the largest independent regulator for all securities firms doing business in the United States. FINRA's mission is to protect investors by making sure the United States securities industry operates fairly and honestly. As of October 2023, FINRA oversaw 3,394 brokerage firms, 149,887 branch offices ...

5. Series 7 exam - Wikipedia

   en.wikipedia.org/wiki/Series_7_Exam

   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.

6. Uniform Investment Adviser Law Exam - Wikipedia

   en.wikipedia.org/wiki/Uniform_Investment_Adviser...

   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]

7. Everything You Ever Wanted To Know About Convertible Note ...

   techcrunch.com/2012/04/07/convertible-note-seed...

   The Series Seed and other standardized forms have solved a huge problem: how to get shares of preferred stock into the hands of investors in a seed investment without having to draft and negotiate ...

8. Series 6 exam - Wikipedia

   en.wikipedia.org/wiki/Series_6_Exam

   Series 6 exam. In the United States, the investment company products/variable life contracts representative exam, is commonly referred to as the Series 6 exam. Individuals passing this multiple choice exam are licensed to sell a limited set of securities products: Mutual funds. Closed-end funds on the initial offering only.

9. 24-hour stock trading: Here are the brokers with ... - AOL

   www.aol.com/finance/24-hour-stock-trading...

   Traders looking to trade at any hour of the day now have the ability to swap stocks 24 hours a day during the week. A handful of brokers offer all-day trading, also known as overnight trading, so ...