Taking The Series 7 License Exam

Date February 2, 2012

Passing the Series 7 License Exam is a requirement before anyone working in the finance industry can sell or buy securities including stocks, bonds, derivatives and any other investments promoted to the general public. The exam is administered by the Financial Industry Regulatory Authority (FINRA) and covers a broad range of investments and products. In order to take the exam, generally you must be sponsored by a registered member of FINRA, although in some instances the state can act as your sponsor if you are a Registered Investment Advisor.

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