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Series 62 Corporate Securities Limited Representative Qualification Examination

The Series 62 exam is a closed book examination developed and administered by the Financial Industry Regulatory authority (FINRA). The Pearson VUE conducts the examination on behalf of FINRA.  The people who have successfully registered can do transactions in common and preferred stocks, corporate bonds, rights, warrants, closed-end investment companies, money-market funds, privately issued mortgage-backed securities, other asset-backed securities, and REITS.

Series 62 Corporate Securities Limited Representative Qualification Examination

The Series 62 exam is a closed book examination developed and administered by the Financial Industry Regulatory authority (FINRA). The Pearson VUE conducts the examination on behalf of FINRA.  The people who have successfully registered can do transactions in common and preferred stocks, corporate bonds, rights, warrants, closed-end investment companies, money-market funds, privately issued mortgage-backed securities, other asset-backed securities, and REITS.

Eligibility For Series 62 Corporate Securities Limited Representative Qualification Examination

Candidates appearing or the Series 62 examination will be required to take take a new qualification examination in lieu of the Series 7 test. And the candidate whose qualification extend beyond those proposed for the Series 62 will be required to separately qualify and register in the category. 

Format Of Series 62 Corporate Securities Limited Representative Qualification Examination

The examination is composed of 115 multiple-choice questions covering all of the materials in the following outline in accordance with the subject-matter distribution which are:-

  • Types and Characteristics of Securities and Investments
  • The Market for Corporate Securities
  • Evaluation of Securities and Investments
  • Handling Customer Accounts and Securities Industry Regulations
  • Candidates will be allowed 150 minutes to complete the examination. A candidate must correctly answer 70 percent of the questions to receive a pass the exam, although a candidate will be get there exams score just after completion of the exam as this is a computer based test. Also a candidate is eligible to bring the scratch paper and basic calculator in the exam room.

Series 62 Study Guide

series62-study-guide.gif Brand : Mo-Metrix
Category : Financial
Product # : Study Guide Exam- 206
Description :

Series 62 study guide contains comprehensive sections on 

  • Equity Securities
  • Rights and Risks Associated with Stock
  • Real Estate Investment Trusts
  • Preemptive Rights
  • Debt Securities
  • CUSIP
  • CUSIP Service Bureau
  • Bond Certificates
  • The Trust Indenture Act
  • Collateralized Mortgage Obligations
  • Government Securities
  • T-bills, T-notes and T-bonds
  • GNMA
  • T-strips and T-receipts
  • The Federal Farm Credit System
  • Money Markets
  • Commercial Paper
  • Economic Concepts
  • The Federal Reserve Board
  • Federal Open Market Committee
  • Consumer Price Index
  • Underwriting
  • Types of Underwriting Commitments
  • Regulation D Offering
  • The Securities Market
  • Types of Orders
  • The Super DOT system
  • NASDAQ
  • Advanced Computerized Execution System
  • Alternative Display Facility
  • Electronic Communications Networks
  • The Role of Market Makers
  • The Limit Order Rule
  • Automatic Confirmation Transaction System
  • The Trade Reporting and Compliance Engine
  • Types of Arbitrage
  • Broker/Dealer Procedures
  • Role of the Margin and Cashiering Departments
  • Settlement Options
  • Proxies
  • Investment Analysis
  • The Balance Sheet
  • Fundamental and Technical Analysis
  • The Efficient Market Theory
  • Customer Accounts
  • Joint Tenants with Rights of Survivorship
  • Joint Tenants in Common
  • TOD account
  • Illegal Practices
  • UGMA Uniform Gift to Minors Account
  • Rules and Regulations
  • Securities Exchange Act of 1934
  • National Association of Securities Dealers
  • Maloney Act of 1938
  • Securities Investor Protection Corporation
  • Telephone Consumer Protection Act of 1991
  • Retirement Plans
  • Keogh Plans
  • Section 529 Plans
  • ERISA
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