Registered Representative - RR

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Dictionary Says

Definition of 'Registered Representative - RR'

A person who works for a brokerage company that is licensed by the Securities and Exchange Commission (SEC) and acts as an account executive for clients trading investment products such as stocks, bonds and mutual funds. 

Also known as an "account executive".
Investopedia Says

Investopedia explains 'Registered Representative - RR'

To become licensed as a Registered Representative to act as agent in the buying and selling of securities, a person must pass the Series 7 and Series 63 securities examinations, and be registered with a member of the Financial Industry Regulatory Authority (FINRA) or a self-regulatory organization (SRO).
Search results for

'Registered Representative'

  • What possible past activities will prevent me from becoming a ...

    http://www.investopedia.com/professionals/FAQs/Series7/071305.asp
    There are several events that could either prevent a person from becoming a Registered
    Representative, or that will result in the loss of membership. ...

  • I am not a resident of the United States, but would like to be ...

    http://www.investopedia.com/professionals/FAQs/series7/060204_1.asp
    ... I am not a resident of the United States, but would like to be qualified as a
    registered representative in the US Is it still possible for me to write the ...

  • Series 7 Study Guide - Rules and Regulations - Requirements for ...

    http://www.investopedia.com/exam-guide/series-7/rules-regulations/becoming-registered-representative.asp
    Sign In• Register• Free Annual Reports • Free Newsletters. Dictionary;
    Investing; Markets; Personal Finance; Active Trading; Forex; ...

  • On The Record: Communications With The Public

    http://www.investopedia.com/articles/financialcareers/07/rule_2211.asp
    ... May 12 2012 | Filed Under » Careers, Professional Education, Regulations. Whether
    you are a registered representative looking to become a registered principal ...

  • Series 63, Series 65 Or Series 66?

    http://www.investopedia.com/articles/professionaleducation/07/63_65_66.asp
    ... Once the prospective registered representative has passed the first "core" examination -
    usually the Financial Industry Regulatory Authority (FINRA) Series 6 ...

  • Get A Hold On Mishandled Accounts

    http://www.investopedia.com/articles/basics/08/mishandled-accounts.asp
    ... appears to be the best course of action, visit the FINRA website and search pending
    cases with the investment firm or registered representative in question. ...

  • Series 26 Study Guide - Supervisory Systems - Written Supervisory ...

    http://www.investopedia.com/exam-guide/series-26/supervisory-systems/supervisory-procedures.asp
    ... the member. Furthermore, each registered representative must be assigned
    to a specific principal for supervision. The OSJ: Definition ...

  • Series 6 Study Guide - Customer Accounts - FINRA Rules ...

    http://www.investopedia.com/exam-guide/finra-series-6/customer-accounts/finra-rules.asp
    ... There are a number of FINRA Rules (previously known as NASD Rules) that clarify
    what actions a registered representative may or may not take in regard to ...

  • Financial Career Shift: Get In The Driver's Seat

    http://www.investopedia.com/articles/financialcareers/06/switchingfirms.asp
    ... September 29 2009 | Filed Under » Careers, Professional Education, Retirement. Imagine
    that you are currently a registered representative with a firm, but are ...

  • How To Target Ideal Customers

    http://www.investopedia.com/articles/financialcareers/06/targetclients.asp
    ... They are also more likely to have life changing events that create situations of
    liquidity, and thus an opportunity for the savvy registered representative. ...

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