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Jan 7, 2023 · The Series 11 was a securities license that allowed holders to provide securities quotations and accept unsolicited customer orders for execution. Also known as the Assistant Representative -...
- Julia Kagan
Qualification Exams. To become registered, securities professionals must pass qualifying exams administered by FINRA to demonstrate their competence in the particular securities activities in which they will work. An individual must pass the exams prior to engaging in those areas of the business.
Mar 19, 2024 · The series 11, a securities license issued by FINRA, allowed brokers to handle unsolicited customer orders for securities. In 2018, FINRA retired this license, shifting the focus to series 7 and SIE exams.
Oct 2, 2024 · Financial securities licenses like Series 7 and Series 63 are required by individuals who market and sell investments or securities.
The following is a list of the U.S. Financial Industry Regulatory Authority (FINRA), NASAA, and National Futures Association (NFA) financial securities examinations. Most FINRA examinations are divided into two categories: Registered Representative and Registered Principal levels.
May 16, 2024 · In the United States, Series 11 refers to a specific type of security licensing that a sales assistant must have before being able to take customer security orders that were not solicited. In order to be awarded such authority, a Series 11 exam must be taken and passed with a satisfactory score.
Bank Training Center provides insightful Series 11 exam preparation courses - such as Series 11 self-study packages and Series 11 webcasts - to help you pass your Series 11 exam and earn your Series 11 license.
