Series 23
外汇网2021-06-19 14:12:15
155
An exam offered by the Financial Industry Regulatory Authority (FINRA) for financial professionals seeking to become general securities principals or sales supervisors. The Series 23 can only be taken once the Series 9/10 exams have been passed. The exam consists of 100 multiple-choice questions on the investment banking process (primary and secondary markets), market-making and trading activities at the firm level, managing office staff, and current FINRA regulations. A score of 70% or better is required for passing.
The Series 23 can be bypassed by taking the Series 24 exam, which is more comphensive and includes information psented on the 9/10 exams. A general securities principal has the authority to manage mutual funds, variable annuities and other pooled asset vehicles within FINRA and SEC-authorized firms. Sales supervisors can manage sales and brokerage staff, or work as general partners for a firm. Professionals taking this exam have typically been working in the industry for several years, and are looking to become mutual fund managers or office managers.
标签:
- 上一篇: Derivative
- 下一篇: Active-Share Study
随机快审展示
加入快审,优先展示
推荐文章
- 黑马在线:均线实战利器 8799 阅读
- 短线交易技术:外汇短线博弈精讲 4110 阅读
- MACD震荡指标入门与技巧 4242 阅读
- 黄金操盘高手实战交易技巧 4593 阅读
- 做精一张图 3338 阅读
热门文章
- 港币符号与美元符号的区别是什么啊? 25325 阅读
- 我国各大银行汇率为什么不一样啊? 15451 阅读
- 越南盾对人民币怎么算的?越南盾对人民币汇率换算方法是什么 10386 阅读
- 百利好环球欺诈,不给出金,无法联系。 9938 阅读
- 黑马在线:均线实战利器 8799 阅读