Series 7: Definition and Formula for Calculation, With Example

What is Series 7? The Series 7 exam covers a wide range of topics related to the securities industry, including investment products, securities regulations, trading, and customer accounts. It is designed to test the knowledge and skills necessary to perform the duties of a registered representative. Passing the Series 7 …

Series 3: Explained, Functions, Other Options

Series 3: Explained Individuals who pass the Series 3 exam will be eligible to register with the Commodity Futures Trading Commission (CFTC) as well as become members of the National Futures Association (NFA). These regulatory bodies oversee the activities of commodity futures brokers and associated persons, ensuring that they adhere …