Licencia: Series 24 - General Securities Principal
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
- Licencia independiente
- Se requiere examen estatal
- No se requiere educación
- Se requiere educación continua
- No se necesita experiencia
- Se requiere verificación de antecedentes
- Sin requisitos físicos
Información de licencia actualizada en 07/19/2019