Αποτελέσματα Αναζήτησης
TRADING LICENSE. A Trading License is required to effect transactions on the floor of the New York Stock Exchange (the “Exchange”) or through any facility of the Exchange. The Trading License is billed monthly and pro-rated for the amount of time remaining for the year.
The Series 16 exam — the Supervisory Analyst Qualification Exam (SA) — assesses the competency of an entry-level principal to perform their job as a supervisory analyst.
To access the portal and learn more about applying on-line (on the computer) for a handgun license or a rifle/shotgun permit, visit https://licensing.nypdonline.org. The NYPD License Division is located at One Police Plaza, Room 110A, in Lower Manhattan, and is open Monday through Friday from 8:30 AM until 3:30 PM.
Since, January 2018, all firearm license applications, including renewals, must be submitted on-line. If you require help completing your on-line application, please notify us by email and we will assist you as necessary.
You do not need to be sponsored by a broker-dealer in order to be able to take the required exam for licensure in New York (Series 63 or 66). In order to take the Series 7, which, is required by all FINRA member broker-dealer firms, you’ll need to have a broker-dealer firm sponsor you.
Determine the TYPE OF LICENSE OR PERMIT for which you would like to submit an application (Premise Residence, Premise Business, Carry Business, Carry Guard/Security, Limited Carry, Gun Custodian, Retired Law Enforcement Officer, Special Carry, or Rifle/Shotgun permit). See below for a brief description of each type of license.
APPLICATION PROCEDURES. The FINRA member firm that sponsors the applicant must file a Uniform Application for Securities Industry Registration or Transfer (Form U4) in the Central Registration Depository (CRD®) and request the Supervisory Analyst position on the Form U4.
