Основной контент книги Wiley FINRA Series 99 Exam Review 2017. The Operations Professional Examination
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Volume 427 pages
Wiley FINRA Series 99 Exam Review 2017. The Operations Professional Examination
author
Wiley
$139.75
About the book
The go-to guide to acing the Series 99 Exam! Passing the Operations Professional Qualification Exam (Series 99) qualifies an individual to perform a variety of operations functions in support of a broker-dealer. The exam covers the broker-dealer business at a fundamental level, standard operations functions, investor protection and market integrity regulations, identifying and escalating regulatory red-flag issues to the appropriate person in a firm, and professional conduct and ethical standards. There are no prerequisites for the Series 99 Exam, but all candidates must be sponsored by a FINRA member firm... Next
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Age restriction:
0+Release date on Litres:
23 July 2018Volume:
427 p. ISBN:
9781119403203Total size:
16 МБTotal number of pages:
427Copyright holder:
John Wiley & Sons Limited