《Wiley Series 9 Exam Review 2013 + Test Bank》是一本圖書，作者是The Securities Institute of America, Inc.
基本介紹
- 外文名：Wiley Series 9 Exam Review 2013 + Test Bank
- 作者：The Securities Institute of America, Inc.
- 出版時間：2013年9月
- 頁數：176 頁
- ISBN：9781118671115
- 定價：157.07 美元
內容簡介
General Securities Sales Supervisor Qualification Examination (Series 9 and 10). Passing the Series 9 and 10 will meet the qualification requirements of Chicago Board Options Exchange, FINRA, Municipal Securities Rulemaking Board, NASDAQ OMX PHLX, NYSE Amex, and NYSE ARCA (jointly referred to as SROs) for a candidate who will supervise the sales activities in corporate, municip...(展開全部) General Securities Sales Supervisor Qualification Examination (Series 9 and 10). Passing the Series 9 and 10 will meet the qualification requirements of Chicago Board Options Exchange, FINRA, Municipal Securities Rulemaking Board, NASDAQ OMX PHLX, NYSE Amex, and NYSE ARCA (jointly referred to as SROs) for a candidate who will supervise the sales activities in corporate, municipal and option securities, investment company products, variable contracts, and direct participation programs. In addition to branch office managers, regional and national sales managers may also be registered solely as Limited Principals-General Securities Sales Supervisor as long as they supervise only sales activities. After passing the Series 9 exam, a registered person may supervise a member firm's option business. Senior management and supervisors of underwriting, trading, or overall firm compliance need to qualify under other examination programs. Candidates should refer to the rules of the SROs mentioned earlier to determine the appropriateness of this examination in light of their job descriptions. Each book is accompanied by an online test bank with 58 questions, organized by chapter. The questions included in the book have been included in this online test bank Topics covered: Options RegulationA passing score will satisfy the qualification requirements of Chicago Board Options Exchange, FINRA, Municipal Securities Rulemaking Board, NASDAQ OMX PHLX, NYSE Amex, and NYSE ARCA (jointly referred to as SROs) for a candidate who will supervise the sales activities in corporate, municipal
