Answer to today's Series 7 exam practice question: C Broker-dealers have a suitability obligation to all customers. For noninstitutional or retail customers, the broker-dealer (or registered person at the firm) must have a reasonable basis for recommending a transaction based on information obtained from the customer concerning her investment profile. This would include the customer's age, financial situation and needs, tax status, investment objectives, investment experience, investment time horizon, liquidity needs, and risk tolerance. The educational level of the customer or what type of degree she has would be the least important factor listed.
Securities Training Corporation
教育管理组织
New York，NY 1,202 位关注者
Preparing financial professionals to succeed.
关于我们
Securities Training Corporation (STC) was founded in 1969 to address the training needs of the securities industry. In 2014, STC celebrated 45 years of financial industry training. Going forward, we will continue to offer the highest quality service with the same superior content, while developing innovative products to meet our clients’ needs. STC offers a wide variety of study options. In addition to live and virtual classes, we offer On-Demand lectures in an MP4 format that students can review at their convenience. Our Study Manual is available in both an online and eBook format, so students can review our material on the go. We are also near completion of our mobile app that will conveniently sync with students’ STCI Homerooms. Our Insurance Prelicensing courses are available in all 50 states. We customize Annual Compliance Meetings and develop Firm Element and Regulatory Element training materials to meet Continuing Education requirements. To maximize our accessibility to clients, STC is continuously communicating with clients on 10 social media outlets.
- 网站
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https://www.stcusa.com
Securities Training Corporation的外部链接
- 所属行业
- 教育管理组织
- 规模
- 51-200 人
- 总部
- New York，NY
- 类型
- 私人持股
- 创立
- 1969
- 领域
- The leader in the financial training industry
地点
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主要
获取路线
123 William St
US，NY，New York，10038
Securities Training Corporation员工
动态
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Here's a practice question for the Series 7 Exam to work on today. When determining whether a recommended transaction is suitable, which of the following factors is LEAST important? A. The customer's age B. The customer's liquidity needs C. The level of education the customer achieved D. The tax status of the customer
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Study Tip Sunday While preparing for a #securities licensing exam, keep this study tip in mind to help you pass on your first attempt! Prepare for your exam with STC >> https://bit.ly/3AHCMKj
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Answer to today's practice question: A The Securities Exchange Act of 1934 establishes the rules for activities that are conducted in the secondary market. The two most recognized secondary markets are the New York Stock Exchange (NYSE) and Nasdaq. The Act of 1934 created the Securities and Exchange Commission (SEC) and gave it preeminent regulatory authority over domestic securities dealings in both the primary and secondary markets.
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Here is a practice question for the #SIE exam! What do you think the answer is? The federal securities regulation that provides rules for the secondary market is: A. The Securities Exchange Act of 1934 B. The Investment Advisers Act of 1940 C. The Securities Act of 1933 D. The Securities Investor Protection Act of 1970
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Don't let the December 31 deadline sneak up on you! Complete your #IARCE to stay compliant. Get started >> https://bit.ly/3Uwyv33
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