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

    Picking Top-Quality Hedge Funds

    Narrowing down your choices is the first step to finding a winning fund.
  2. Investing

    What's a Brokerage Account?

    A brokerage account is a contractual arrangement between an investor and a licensed securities broker or brokerage.
  3. Financial Advisor

    What is the Series 66?

    The Series 66 exam is one of two tests required to register as both a securities agent and an investment advisor.
  4. Managing Wealth

    How To Start Your Own Private Foundation

    Private foundations can be time consuming and expensive to set up and operate.
  5. Investing

    Is The Series 24 Exam Hard?

    What makes the series 24 so challenging? The exam focuses very heavily on the supervision of trading and market making and the supervision of investment banking.
  6. Financial Advisor

    Understanding Series 63

    Series 63 is a securities license that entitles the holder to sell securities in a particular state.
  7. Small Business

    What is a Firm?

    A firm is a business or organization that sells goods or services on a for-profit basis.
  8. Financial Advisor

    Varieties Of Brokers And How To Pick The Best One

    Figuring out what kind of broker to use can be a daunting task. The key is figuring out just how much help you need.
  9. 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 ...
  10. Personal Finance

    Financial Career Shift: Get In The Driver's Seat

    Before you agree to work for another investment firm, be sure you know what you're getting into.
Trading Center