wallace cititraining
e-news, May 2012
CF30 – FINRA recognition … finally!
Just when you had given up hope,
FINRA have finally recognized the CF30 prerequisite. If you like
“regulatorspeak” and want to know all the details you can following this link:
http://bit.ly/HPBIRo but in
English this means that properly registered people in the UK may be eligible to
act as a General Securities Representative in the US, by obtaining the Limited
Registered Representative (IE) registration. The IE registration is
obtained by meeting certain criteria (details on the above link) and by passing
the Series 17 exam. The IE registration allows individuals to act as a
General Securities Representative without having to sit the Series 7 exam
but you can’t conduct business in municipal securities.
Wallace Cititraining provide
Series 17, 7 and all US regulatory exam material, can take fingerprints, offer
Virtual Classes and On Demand Lectures to make your life easier. If you
need any assistance just call us on 020 7379 0504.
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