FINRA - Financial Industry Regulatory Authority offers a series of certifications, popularly called as series certifications.It is popular among the investment banking professionals.We are going to give details on various series certifications from FINRA in this post.
1) Series 4 - Registered Options Principal
2) Series 9 and 10 - General Securities Sales Supervisor
3) Series 23 - General Securities Principal - Sales Supervisor Modules
4) Series 24 - General Securities Principal
5) Series 26 - Investment Company Products/Variable Contracts Limited Principal
6) Series 27 - Financial And Operations Principal
7) Series 28 - Introducing Broker/Dealer Financial and Operations Principal
8) Series 39 - Direct Participation Programs Limited Principal
9) Series 51 - Municipal Fund Securities Principal
10) Series 53 - Municipal securities Principal
11) Series 6 - Investment Company Products/Variable Contracts Limited Representative
12) Series 7 - General Securities Representative
13) Series 17 - Limited Registered Representative
14) Series 37 and Series 38 - Canada Module of the Series 7
15) Series 11 - assistant Representative - Order Processing
16) Series 22 - Direct Participation Programs Limited Representative
17) Series 42 - registered Options Representative
18) Series 52 - Municipal Securities Representative
19) Series 55 - equities Trader Limited representative
20) Series 62 - Corporate Securities Limited Representative
21) Series 72 - Government Securities Limited Representative
22) Series 79 - Limited Representative - Investment Banking
23) Series 82 - Limited Representatives - Private Securities Offering Representative
24) Series 86 and Series 87 - Research Analyst
25) Series 63,65,66 - Uniform Investment Advisor
26) Series 14 - compliance Officer
27) Series 5 - Interest Rate Options
28) Series 3 - National commodities Futures
29) Series 30 - Branch Managers
30) Series 31 - Futures Managed Funds
31) Series 32 - Limited Futures
We will be discussing in details including pre-requisite, resources on various exams.
C-Share Investment Banking Term:
In a family of multi-class mutual funds, the class that has a constant load structure throughout the life of the fund.
Who is an institutional investor?
Institutional investor is an organization/company who pools the money from many different individuals and invests them in many sources. Some good examples of institutional investors are banks, mutual funds, hedge funds, index funds etc.
1) Series 4 - Registered Options Principal
2) Series 9 and 10 - General Securities Sales Supervisor
3) Series 23 - General Securities Principal - Sales Supervisor Modules
4) Series 24 - General Securities Principal
5) Series 26 - Investment Company Products/Variable Contracts Limited Principal
6) Series 27 - Financial And Operations Principal
7) Series 28 - Introducing Broker/Dealer Financial and Operations Principal
8) Series 39 - Direct Participation Programs Limited Principal
9) Series 51 - Municipal Fund Securities Principal
10) Series 53 - Municipal securities Principal
11) Series 6 - Investment Company Products/Variable Contracts Limited Representative
12) Series 7 - General Securities Representative
13) Series 17 - Limited Registered Representative
14) Series 37 and Series 38 - Canada Module of the Series 7
15) Series 11 - assistant Representative - Order Processing
16) Series 22 - Direct Participation Programs Limited Representative
17) Series 42 - registered Options Representative
18) Series 52 - Municipal Securities Representative
19) Series 55 - equities Trader Limited representative
20) Series 62 - Corporate Securities Limited Representative
21) Series 72 - Government Securities Limited Representative
22) Series 79 - Limited Representative - Investment Banking
23) Series 82 - Limited Representatives - Private Securities Offering Representative
24) Series 86 and Series 87 - Research Analyst
25) Series 63,65,66 - Uniform Investment Advisor
26) Series 14 - compliance Officer
27) Series 5 - Interest Rate Options
28) Series 3 - National commodities Futures
29) Series 30 - Branch Managers
30) Series 31 - Futures Managed Funds
31) Series 32 - Limited Futures
We will be discussing in details including pre-requisite, resources on various exams.
C-Share Investment Banking Term:
In a family of multi-class mutual funds, the class that has a constant load structure throughout the life of the fund.
Who is an institutional investor?
Institutional investor is an organization/company who pools the money from many different individuals and invests them in many sources. Some good examples of institutional investors are banks, mutual funds, hedge funds, index funds etc.
