Series 62

By Jeff Van Blarcom AAA

Brokerage Office Procedure - Introduction

Guidelines for the practices, which a brokerage firm uses to conduct the operation of its daily business, are regulated by industry, state, and federal regulators. These guidelines are the foundation for the way that the firm does everything from hiring a new agent to executing a customer’s order. All series 62 candidates must have a full understanding of a brokerage firm’s operations and procedures to successfully complete the exam



Executing An Order

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