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Investment Term For The Day - Series 63
Manage episode 348236424 series 2956461
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Series 63 is a securities exam and license entitling the holder to solicit orders for any type of security in a particular state. To obtain a Series 63 license, the applicant must pass an exam and possess knowledge of ethical practices and fiduciary obligations.
Applicants to the Series 63 license must pass an exam and possess knowledge of ethical practices and fiduciary obligations.
Most U.S. states require all potential registered representatives to pass the exam, which covers the principles of state securities regulations and rules prohibiting dishonest or unethical practices.
Colorado, Florida, Louisiana, Maryland, Ohio, the District of Columbia, and Puerto Rico do not require Series 63.
Become a supporter of this podcast: https://www.spreaker.com/podcast/investment-terms--4432332/support.
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Applicants to the Series 63 license must pass an exam and possess knowledge of ethical practices and fiduciary obligations.
Most U.S. states require all potential registered representatives to pass the exam, which covers the principles of state securities regulations and rules prohibiting dishonest or unethical practices.
Colorado, Florida, Louisiana, Maryland, Ohio, the District of Columbia, and Puerto Rico do not require Series 63.
Become a supporter of this podcast: https://www.spreaker.com/podcast/investment-terms--4432332/support.
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