Molecular Cell Biology

Licensing | Securities Commission Malaysia

Date of publication: 2017-08-23 15:21

  • Series 67: Corporate Securities Limited Representative
    Qualifies an individual to sell public offerings and/or private placements of corporate stocks, corporate bonds, rights, warrants, REITs, CMOs, and securities of closed-end companies, repos and certificates of accrual on corporate securities securities traders M&A venture capital corporate financing ETFs, and hedge funds.

    Administrative Rules of the Oklahoma Department of Securities

    Everyone from bartenders to grocery store clerks who sells or serves alcohol in the state of New Mexico is required to obtain a permit. Learn more about the requirements, and view the current course schedules for Alcohol Server Education classes..

    The Exam Simulator

  • Series 87: Limited Representative-Private Securities Offerings Representative
    Qualifies an individual for the sale of private placement securities as part of a primary offering.

    Montana State Auditor, Securities and Insurance Commissioner

    offers a variety of securities licensing courses to help you become a stockbroker or financial advisor, including in-person securities licensing seminars, online securities licensing training, and several self-study programs to help individuals pass their securities exam and earn their securities license.

    The exam consists of 755 scored questions and an additional 65 unscored pretest questions. Candidates are given six hours to complete the exam and it is conducted in two three-hour sessions with 685 questions per session. The passing score is 77 percent.

    Through its authority to issue licences, the SC regulates the market by ascertaining the fitness and propriety of companies and individuals applying for licences. In considering whether an applicant is fit and proper to hold a licence, the SC takes into account the following factors:

    Search online for licensed professionals or facilities. Verify the license of a contractor. Online look up services provide a quick tool for finding what you need to know.

  • Series 66: Uniform Combined State Law Examination
    Qualifies an individual to be both an "agent" of a broker/dealer and an "investment advisor" representative in each state.

  • Series 65: Uniform Investment Advisor Law Examination
    Qualifies a representative to act as an investment advisor and receive a fee.

    Enhancing Safeguards for Investors' Assets: In December 7559, the SEC adopted rules to better protect clients of investment advisers from theft and abuse. The rules provide greater assurance to investors that their accounts contain the funds that their investment adviser and account statements say they contain. Among other things, the new rules encourage registered investment advisers to place their clients' assets in the custody of an independent firm, unlike Bernard Madoff did. In situations where an independent custodian is not used or an adviser has control of client assets, surprise exams and third party reviews are required to protect investors 8767 assets.

    The Series 65 is required for those providing any type of financial advice or service on a fee/non-commission basis (. hourly fee or asset based management fee).

    To find training to earn your securities license and to become a stockbroker or financial advisor, simply click on the license name below to see recommended and available training courses. Good luck on your exam!

    The Series 7 exam – the General Securities Representative Qualification Examination (GS) – assesses the competency of an entry-level registered representative to perform his or her job as a general securities representative.

    issues, transfers and revokes liquor licenses as specified in the Liquor Control Act. It also administers the Alcohol Server Training Program, educating licensees and servers to prevent sales of alcoholic beverages to minors and intoxicated persons.

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      Licensing examination for securities and futures intermediaries paper