The Series 7 is the general securities registered representative license administered by the Financial Industry Regulatory Authority (FINRA) that entitles the holder to sell all types of securities products with the exception of commodities and futures.
The purpose of the Series 7 license is to set a level of competency for a registered representative or stockbroker to work in the securities industry. The Series 7 license is a basic requirement for an entry-level broker. The Series 7 licensing exam covers an extensive range of financial terms and topics as well as securities regulations.
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