SERIES 42
Series 42 is an examination under the Financial Industry Regulatory Authority (FINRA) to become licensed options representatives of brokers/dealers or principal that are member of FINRA. Series 42 was made to challenge the knowledge of test takers regarding the options terminology, customer account management, record-keeping, overall broker conduct, trading strategies,and settlement practices. The exam is composed of 50 questions to be accomplished within 1.5 hours with a passing grade of 70%.
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Transaction
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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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