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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.
- Series 7
If you obtained a General Securities Representative (Series...
- Exam
Your First Step to a Career in the Securities IndustryOn...
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- Sie
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- Continuing Education (CE)
In conjunction with other self-regulatory organizations and...
- Registration
Both firms and individuals must be registered with FINRA to...
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- FAQs
10. I held a General Securities Principal (Series 24)...
- Series 7
8 Ιαν 2023 · The Series 31 is a financial industry licensing exam that allows one to sell or supervise managed futures funds or commodity pools. Managed futures accounts are investment vehicles that hold...
12 Απρ 2024 · Series 3: If you want to sell commodity futures contracts, you need the Series 3 license, also administered by FINRA. Series 31: If you want to sell managed futures, which are pooled groups of commodities futures, you’ll need the Series 31 license, an offshoot of the Series 3 license.
Under Illinois law, all securities offered or sold in the state must be registered prior to offer or sale, unless exempt by law. The National Securities Markets Improvement Act of 1996 (NSMIA) redefined which securities required state registration.
The following regulations are strictly enforced: Regulations Under the Illinois Securities Law of 1953, 130 ILAC 842 (b)(2) and 130 ILAC 843 (b)(2) respectively, state “Any person who has not been registered in any jurisdiction for a period of two years shall be required to comply with the examination requirements of this Section.”
Initial registration as an investment adviser with the Illinois Securities Department is valid from the date of registration approval, as notified by the department, through Dec. 31 of the same year. Registration must be renewed each year for the next sub-sequent calendar year.
Learn about the Series 31 licensing requirements and prepare for the Managed Futures Exam. Get expert training and support to become a registered Futures Managed Fund Representative.
