In observance of Juneteenth, FINRA’s Market Transparency Reporting Systems will be closed on Wednesday, June 19, 2024.
The Series 79 exam — the Investment Banking Representative Exam — assesses the competency of an entry-level registered representative to perform their job as an investment banking representative.
The Series 23 exam — the General Securities Principal Qualification Exam – Sales Supervisor Module (GP) — assesses the competency of an entry-level principal to perform their job as a general securities principal The Series 23 exam is an alternative to taking the General Securities Principal Exam (Series 24) and is appropriate for a candidate who is registered as a General Securities Sales Supervisor (SU) and wants to register as a General Securities Principal.
The Series 51 exam—the Municipal Fund Securities Limited Principal Qualification Examination (FP)—is a Municipal Securities Rulemaking Board (MSRB) exam.The exam consists of 60 scored questions and five unscored pretest questions. The additional questions are randomly distributed. Candidates are given two hours and 45 minutes to complete the exam. The passing score is 70%.For additional
The Series 53 exam—the Municipal Securities Principal Qualification Examination (MP)—is a Municipal Securities Rulemaking Board (MSRB) exam. The exam consists of 100 scored questions and 10 unscored pretest questions. The additional questions are randomly distributed. Candidates are given three hours and 15 minutes to complete the exam. The passing score is 70%.For additional information
The Series 52 exam—the Municipal Securities Representative Qualification Examination (MR)—is a Municipal Securities Rulemaking Board (MSRB) exam. The exam consists of 75 scored questions and five unscored pretest questions. The additional questions are randomly distributed. Candidates are given two hours and 30 minutes to complete the exam. The passing score is 70%.For additional
SUGGESTED ROUTING*
Senior ManagementLegal & ComplianceOperationsTrading
*These are suggested departments only. Others may be appropriate for your firm.
SEC REQUEST FOR COMMENTS
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC) has proposed Rule 15c2-6 to address fraudulent, deceptive, or manipulative acts and practices used in connection with high-pressure telephone
SEC Approves Supplemental Inventory Schedule
SEC Approves Amendments Regarding OATS Routing Method Code for Intermarket Sweep Orders
My first impression of this proposal is that it is a reaction to activities of individuals during the recent pandemic. Those who followed Wall Street Bets chasing meme stocks succumbed to, as Glenn Frey wrote in Smugglers Blues, "The lure of easy money is a very strong disease." As such the cure for such affliction would be better found with "Gamblers Anonymous"
