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Licensed Occupation (United States)
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License Description:
A general securities principal’s supervisory responsibilities are governed by the limitations of his or her representative level registrations. Covered supervisory activities include regulatory compliance over the following.
?Trading
?Market making
?Underwriting
?Advertising
The Series 9/10 Exam is designed to assess the competency of General Securities Sales Supervisors in the following fields:
?Sale of Corporate Securities
?Rights
?Warrants
?Closed-End Funds
?Money Market Funds
?REITs
?Asset-Backed Securities
?Mortgage Backed-Securities (Corporate)
?Equity Options
?Options on (corporate) Backed-Securities
?Mutual Funds
?Variable Annuities and Variable Life Insurance
?Government Securities
?Repos and Certificates of Accrual on Government Securities
?Municipal Securities and Municipal Fund Securities
?Direct Participation Programs
License Agency:
Financial Industry Regulatory Authority (FINRA)
http://www.finra.org/industry
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License Description:
A general securities principal’s supervisory responsibilities are governed by the limitations of his or her representative level registrations. Covered supervisory activities include regulatory compliance over the following.
?Trading
?Market making
?Underwriting
?Advertising
The Series 9/10 Exam is designed to assess the competency of General Securities Sales Supervisors in the following fields:
?Sale of Corporate Securities
?Rights
?Warrants
?Closed-End Funds
?Money Market Funds
?REITs
?Asset-Backed Securities
?Mortgage Backed-Securities (Corporate)
?Equity Options
?Options on (corporate) Backed-Securities
?Mutual Funds
?Variable Annuities and Variable Life Insurance
?Government Securities
?Repos and Certificates of Accrual on Government Securities
?Municipal Securities and Municipal Fund Securities
?Direct Participation Programs
License Agency:
Financial Industry Regulatory Authority (FINRA)
http://www.finra.org/industry
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License Description:
Covered supervisory activities and products include regulatory compliance over sales of the following.
?Mutual funds
?Closed-end funds (initial offering only)
?Variable annuities
?Variable life insurance
License Agency:
Financial Industry Regulatory Authority (FINRA)
http://www.finra.org/industry
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License Description:
Covered supervisory activities include the following.
?Back office operations
?Preparation and maintenance of a member firm’s books and records
?Compliance with financial responsibility rules that apply to self-clearing broker-dealers and market makers
?Mutual funds
?Closed-end funds (initial offering only)
?Variable annuities
?Variable life insurance
License Agency:
Financial Industry Regulatory Authority (FINRA)
http://www.finra.org/industry
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License Description:
Covered supervisory activities include the following.
?Back office operations
?Preparation and maintenance of a member firm’s books and records
?Compliance with financial responsibility rules that apply to fully disclosed broker-dealers that do not hold customer funds and securities, and do not carry customer accounts
License Agency:
Financial Industry Regulatory Authority (FINRA)
http://www.finra.org/industry
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License Description:
Covered supervisory activities and products include regulatory compliance over trading, market making, underwriting and advertising of:
?Equity options
?Foreign currency options
?Interest rate options
?Index options
?Options on government and mortgage-backed securities
License Agency:
Financial Industry Regulatory Authority (FINRA)
http://www.finra.org/industry
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License Description:
Municipal fund securities (e.g., 529 College Savings Plans, Local Government Investment Pools (LGIPs))
License Agency:
Financial Industry Regulatory Authority (FINRA)
http://www.finra.org/industry
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License Description:
Municipal securities, including municipal fund securities (e.g., 529 College Savings Plans, Local Government Investment Pools (LGIPs))
License Agency:
Financial Industry Regulatory Authority (FINRA)
http://www.finra.org/industry
|
License Description:
The Series 9/10 Exam is designed to assess the competency of General Securities Sales Supervisors in the following fields:
?Sale of Corporate Securities
?Rights
?Warrants
?Closed-End Funds
?Money Market Funds
?REITs
?Asset-Backed Securities
?Mortgage Backed-Securities (Corporate)
?Equity Options
?Options on (corporate) Backed-Securities
?Mutual Funds
?Variable Annuities and Variable Life Insurance
?Government Securities
?Repos and Certificates of Accrual on Government Securities
?Municipal Securities and Municipal Fund Securities
?Direct Participation Programs
License Agency:
Financial Industry Regulatory Authority (FINRA)
http://www.finra.org/industry
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