SERIES 11 LICENSE - ASSISTANT REPRESENTATIVE - ORDER PROCESSING
Series 11 License - Assistant Representative - Order Processing is a security license under the Financial Industry Regulatory Authority (FINRA). It is used by sales assistants who are allowed to receive unsolicited securities orders for clients but is not allowed to receive orders for municipal securities. Assistant Representative - Order Processing (AR) is the name given to FINRA qualification examination for the Series 11. There are no prerequisite for taking the examination.
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Accumulation Area
A price where the investors purchase shares of a particular stock. It is usually determined by the looks of the volume and its price. Some analysts ...
SEC Form DEF13E3
SEC Form DEF13E3 is a form which is used as an initial preliminary statement for a company or affiliate that is turning private. “Going priva ...
Transaction
1. Deal between a buyer and a seller to exchange a product, service, or financial instrument.
2. In accounting, an event or condition aff ...
IRS Publication 596
A document that gives information on the earned income credit (EIC) offered to individuals who earn below $51,567. To be eligible to receive EIC, a ...
Depository Trust Company Tracking - DTCT
A service, used by underwriting firms, that provides a method of tracking the exact path of purchases and sales of newly issued securities.
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A Guide to Your Personal Income Tax: Papers
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An Introduction to Ethical Investing
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