Study on the securities industry in Quebec

final report. by Quebec (Province). Dept. of Financial Institutions, Companies and Cooperatives. in [Québec]

Written in English
Published: Downloads: 371
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Subjects:

  • Securities industry.
  • Edition Notes

    Other titlesÉtude sur l"industrie des valeurs mobilières au Québec.
    Classifications
    LC ClassificationsHG5152 .Q83 1972
    The Physical Object
    Paginationv.
    ID Numbers
    Open LibraryOL5466399M
    LC Control Number73169259

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  As of December , there were approximately , FINRA-Registered Representatives. The majority of these reps passed their securities licensing exams in the traditional way - by studying and sitting for the Series 7, 63, 79, etc. Starting October 1, , anyone who wants to earn certain licenses now has to take an additional exam. In a significant shift in how FINRA (Financial Industry.   This study aid is intended to provide students with a general understanding of the basic issues encountered in a Securities Regulation class. It focuses on the Securities Act of and the Securities Exchange Act of Chapter 1 - The Canadian Securities Industry In this chapter, we describe the interrelationships between the various participants in the Canadian securities industry. In particular, we discuss the important role that investment dealers and other financial intermediaries play in channelling funds between lenders and borrowers. Series 99 Top-off Operations Professional Exam Study Program. Candidates must pass the Securities Industry Essentials (SIE) exam and a revised Series 99 exam to obtain the Operations Professional registration. This Series 99 Securities Exam is not required for all back office personnel.

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