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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 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.
The Series 16 Examination is designed to assess the competency of entry-level Supervisory Analysts. It is intended to safeguard the investing public by helping to ensure that Supervisory Analysts are competent to perform their jobs.
30 Μαΐ 2024 · Explore our detailed guide on navigating FINRA exams, covering all 32 licenses, requirements, and permitted activities for securities professionals in the industry.
17 Απρ 2020 · Figuring out which Series exam and licensure is right for you can be a bit overwhelming. We teamed up with a practicing Certified Public Accountant and finance professional to explain the differences between some of the most popular FINRA Series licenses available today to help you decide which one is right for you.
12 Απρ 2024 · Series 63: If you have a Series 6 license or a Series 7 license, and you want to do business as a stockbroker or sell mutual funds in any state, you need this license. Administered by NASAA, Series 63 is known as the Uniform Securities Agent license.
SAIFM also offers the "Registered Persons" examinations, [4] required for licensing as financial market "practitioners" on the various exchanges, selecting up to 8 according to the requirements of the exchange for the specific function; the typical roles here are investment advisor and fund manager, as well as those executing transactions ...
