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Study with Quizlet and memorize flashcards containing terms like A security, Note, under federal law, futures contracts are not considered securities., issuer and more.
8 Οκτ 2024 · Study with Quizlet and memorize flashcards containing terms like Security, Issuer, Investment Banking Department and more.
Intro NASD course, Instructor Dean Nikolai Learn with flashcards, games, and more — for free.
The Series 14 exam — the Compliance Officer Qualification Exam (CR) — assesses the competency of an entry-level principal to perform their job as a compliance officer.
The Series 14 exam — the Compliance Officer Exam — assesses the knowledge needed to perform major job functions of a compliance officer, including expertise in compliance processes and reporting requirements.
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.
The Series 14 exam was developed based on a job analysis of the compliance official position. The job analysis process included collecting data from a wide variety of firms both through questionnaires and personal interviews involving compliance officials, their peers, subordinates and superiors.
