| Title: | Market Investing |
| Moderator: | 2155::michaud |
| Created: | Thu Jan 23 1992 |
| Last Modified: | Thu Jun 05 1997 |
| Last Successful Update: | Fri Jun 06 1997 |
| Number of topics: | 1060 |
| Total number of notes: | 10477 |
Doe anyone know the process/steps involved in obtaining
full-time/part-time stock broker license ? I remember reading something
about a Series 7 and 63 license ! Are there any other licenses that
have to be obtained ?
I would appreciate any information about the process, coursework or
related training etc.
Thanks,
p.v.
| T.R | Title | User | Personal Name | Date | Lines |
|---|---|---|---|---|---|
| 157.1 | More on Series 7 | SDSVAX::SWEENEY | Patrick Sweeney in New York | Wed Apr 15 1992 01:34 | 14 |
Besides taking the exam, you will need to study for it. A lot of the
questions are highly technical and concern compliance with securities
law.
You will also need to be sponsored by a National Assn of Security
Dealers member firm. Typically, the only way to be sponsored is to be
employed by one.
Passing the exam makes you a "registered representative", not a
"broker", technically, a broker is a an agency which matches buyers and
sellers of securities for a commission.
Series 7 refers to the ordinary stocks and bonds registered rep. Other
exams deal with commodities and other securities.
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