DRPS
This is secures the government's interest in your property when you don't pay your federal debt.
This is a professional designation that measures the competence and integrity of the candidate. Candidates are required to pass three levels of exams covering areas such as accounting, economics, ethics, money management and security analysis.
What is a 'Chartered Financial Analyst - CFA'
This is the Uniform Securities State Law exam administered by FINRA.
Illegal Offenses are “initially” revealed under this section of the Fingerprint report within the FINRA Gateway.
What is the DOJ page (or FBI page/Rapp sheet)?
This is created by entering data from fingerprint cards and then such information is directly submitted to an automated system electronically. This information is then available for use by criminal justice agencies and other requestors of a person’s criminal record.
What is the Criminal History Record Information [CHRI]
This is the Uniform Investment Adviser Law Examination administered by FINRA.
This happens when derogatory events are not properly disclosed with an Applicant's Previous Broker-Dealer.
This organizations resulted from the merger of the New York Stock Exchange's regulatory committee and the National Association of Securities Dealers.
What is the Financial Industry Regulatory Authority (FINRA)?
A window which an individual may schedule a securities exam.
What is a 120-day window?
This is the industry wide, self-regulatory organization for the U.S. derivatives industry, providing innovative and effective regulatory programs.
What is the National Futures Association?
This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry.
What is the Securities Industry Essentials Exam (SIE or Essentials)?
This is an exchange that focuses on options contracts for individual equities. It is the world's largest options market. It captures a majority of the options traded.
What is the Chicago Board Options Exchange, the Cboe.
This exam measures the degree to which each candidate possesses the knowledge needed to perform the critical functions of a general securities principal, including the rules and statutory provisions applicable to the supervisory management of a general securities broker-dealer.
What is the Series 24 - General Securities Principal Exam