Last edited by Bralkree
Monday, August 3, 2020 | History

3 edition of PassTrak series 4, Registered options principal. found in the catalog.

PassTrak series 4, Registered options principal.

PassTrak series 4, Registered options principal.

  • 214 Want to read
  • 16 Currently reading

Published by Dearborn Financial Pub. in Chicago, Ill .
Written in English

    Subjects:
  • Options (Finance) -- Examinations, questions, etc,
  • Stockbrokers -- Examinations, questions, etc

  • Edition Notes

    Includes index.

    ContributionsDearborn Financial Publishing.
    Classifications
    LC ClassificationsHG6024.A3 P37 1995
    The Physical Object
    Paginationp. cm.
    ID Numbers
    Open LibraryOL1269961M
    ISBN 100793114519
    LC Control Number95001112

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      "Series 4—Registered Options Principal Exam." Accessed July 7, FINRA. "Series 55 Equity Trader Qualification Exam," Page 3. Accessed July . An applicant for membership or existing member, if the nature of its business so requires, shall also have at least one person registered as: (1) an Investment Banking Principal pursuant to Rule (a)(5); (2) a Research Principal pursuant to Rule (a)(6); (3) a Securities Trader Principal pursuant to Rule (a)(7); and (4) a Registered.

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PassTrak series 4, Registered options principal Download PDF EPUB FB2

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edition, in English - 7th ed. Appropriate Principal Exam: SR: Senior Registered Options Principal: 4: SU: General Securities Sales Supervisor: 8 or 9/ TD: Securities Trader: 57* TP: Proprietary Trader Principal: TR: NYSE Securities Trader: 7: TS: NYSE Trading Supervisor: NYSE Financial Principal Examination NASD Principal Examination (P-1 - P) S00 or CNYSE.

Passtrak Series 4: Principles and Practices Questions and Answers: Registered Options Principal: William H. Pivar Bradley A. Pivar: Power Real Estate Advertising: The Complete Guide for Professionals: PassTrak ser Municipal securities principal '' Arvid L Mortensen.

The oversight responsibility of the registered options or municipal securities principal exams is broader. In addition to sales supervision, the Registered Options Principal Exam (Series 4) and the Municipal Securities Principal Exam (Series 53) qualify a principal to supervise the member's overall securities business, including but not limited.

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How long must advertisements, market letters and sales literature issued by a member organization pertaining to listed options be retained and readily available for inspection? (A) 6 months (B) 1 year (C) 3 years (D) 5 years.

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