Series 7 registered brokers — брокеры, зарегистрированные на основании "серии 7"*
he is Series 7 registered — он зарегистрирован на основании "серии 7"
Англо-русский экономический словарь.
Series 6 — The Investment Company Products/Variable Life Contracts Representative Exam, commonly referred to as the Series 6, is a multiple choice exam that registers an individual to transact a limited set of securities: * Mutual funds * Closed end funds… … Wikipedia
Series 14 — is a qualification examination administered to compliance officials at New York Stock Exchange (NYSE) registered broker/dealers. The 110 question test is intended to ensure that individuals designated as having overall day to day compliance… … Wikipedia
Registered Cossacks — Mail armour worn by elite regiments of registred Cossacks known as panzer Cossacks … Wikipedia
Registered Representative — A Registered Representative, also called a General Securities Representative, a Stock Broker, or an Account Executive, is an individual who is licensed to sell securities and has the legal power of an agent. Registered Representatives usually… … Wikipedia
Registered jack — A registered jack (RJ) is a standardized physical interface both jack construction and wiring pattern for connecting telecommunications equipment (commonly, a telephone jack) or computer networking equipment to a service provided by a local… … Wikipedia
Series 62 — An exam administered by the Financial Industry Regulatory Authority (FINRA) for financial professionals seeking to become limited registered representatives for corporate equities and corporate debt securities. It tests an individual s knowledge… … Investment dictionary
Series 72 — An exam administered by the Financial Industry Regulatory Authority (FINRA) for individuals seeking to become government securities limited representatives for registered broker/dealers. Series 72 license holders can sell government bonds and… … Investment dictionary
Registered Investment Advisor — Investment Advisor (IA) is a non formal designation describing a person or firm in the United States who has registered with the U.S. Securities and Exchange Commission or state regulatory agency (where the primary business is situated or… … Wikipedia
Registered Representative - RR — A person who works for a brokerage company that is licensed by the Securities and Exchange Commission (SEC) and acts as an account executive for clients trading investment products such as stocks, bonds and mutual funds. Also known as an account… … Investment dictionary
Registered Principal — A licensed securities dealer who is also empowered to oversee operational, compliance, trading and sales operations and the personnel who staff them. Registered principals must have all the basic securities licenses required for the operation… … Investment dictionary
Series 39 — A two hour exam offered by the Financial Industry Regulatory Authority (FINRA) that tests a person s knowledge of how direct participation programs (DPPs) are structured, how to manage registered representatives within a broker/dealer, and the… … Investment dictionary
