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

Related Articles
  1. Investing

    What's a Brokerage Account?

    A brokerage account is a contractual arrangement between an investor and a licensed securities broker or brokerage.
  2. Managing Wealth

    How To Start Your Own Private Foundation

    Private foundations can be time consuming and expensive to set up and operate.
  3. Small Business

    Corporate Governance

    Corporate governance refers to the formally established guidelines that determine how a company is run. The company’s board of directors approves and periodically reviews the guidelines, which ...
  4. Financial Advisor

    Understanding Series 63

    Series 63 is a securities license that entitles the holder to sell securities in a particular state.
  5. Investing

    6 Steps to Becoming a Real Estate Agent

    Get a head start in the real estate business by following these six steps.
  6. Trading

    Get To Know These Crucial US Options Market Regulations

    How are options regulated in the U.S and which organizations are involved in options market regulations?
  7. Investing

    6 Steps to Become a Real Estate Agent

    Here, we'll show you the main steps to becoming a successful real estate agent.
  8. Trading

    Top 10 Brokerage Firms For Day Trading

    Day traders have different needs from long-term investors. Investopedia rates the top 10 brokerage firms for day traders.
  9. Trading

    Navigating The Labyrinthine US Regulations For Forex Brokers

    Forex is, understandably, tightly regulated. We offer a peek into forex regulations in the US and other countries.
  10. Managing Wealth

    How To Start Your Own Private Foundation

    The most common type of private foundation is a grant-making foundation. These typically provide grants to charities to fund expenses or programs.
Frequently Asked Questions
  1. What are the Differences Among a Real Estate Agent, a broker and a Realtor?

    Learn how agents, realtors, and brokers are often considered the same, but in reality, these real estate positions have different ...
  2. What is the difference between amortization and depreciation?

    Because very few assets last forever, one of the main principles of accrual accounting requires that an asset's cost be proportionally ...
  3. Which is better, a fixed or variable rate loan?

    A variable interest rate loan is a loan in which the interest rate charged on the outstanding balance varies as market interest ...
  4. What is the 1003 mortgage application form?

    Learn about the 1003 mortgage application form, what information it requires and why this form is the industry standard for ...
Trading Center