People who wish to work as a stockbroker in the U.S.A. must take the am is administered by the Financial Industry Regulatory Authority, or FINRA.
Applicants take the exam in two 3-hour sessions. Questions cover the following competencies:
Seeks Business for the Broker-Dealer through Customers and Potential Customers (68 questions)
Opens Accounts, Transfers Assets, and Maintains Appropriate Account Records (17 questions)
Obtains and Verifies Customer's Purchase and Sales Instructions, Enters Orders, and Follows Up (58 questions)
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