Registered Representative - RR

What does it Mean? A person who works for a brokerage company that is licensed by the Security 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... 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).

Terms Related Links

Agent
Broker-Dealer
Commodity Futures Trading Commission - CFTC
Full Service Broker
National Association Of Securities Dealers - NASD
New York Stock Exchange - NYSE
Securities And Exchange Commission - SEC
Series 63
Series 7

Terms Related Links
Series 7 Exam Guide - Pass your Series 7 Exam and pursue your stock broker career with our Free Online Study Guide.

Putting Licenses To The Test - Find out which exam you need to begin your career as an investment professional.

Finding Your Place In The Financial Industry - Find out what it takes not only to get into this field, but to be a success.

Get Into A Broker Training Program - Becoming a registered representative isn't easy. Learn how to succeed at the first step.

The Nitty-Gritty Of Executing A Trade - Ever wonder what happens behind the scenes when you buy or sell a stock? Read on and find out!

Don't Overlook These Broker Deductions - Make your business expenses work for you!

Catching Comeback Stocks For Clients - We'll give you the clues you need to assess which stocks can make a turnaround.

Correspondence That Pushes The Envelope - Learn the difference between correspondence and sales literature, according to NASD rules.

Evaluating Your Broker - Make sure you're getting the best service by staying informed and involved.

On The Record: Communications With The Public - NASD Rule 2211 can make or break your career as a registered principal.

Helping Young Clients Plan For The Future - Making high-risk investments isn't always the best course. Learn what other factors advisors should consider.

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