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. Managing Wealth

    How To Start Your Own Private Foundation

    Private foundations can be time consuming and expensive, but many find the endeavor worthwhile.
  2. Financial Advisor

    Understanding Series 63

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

    How Real Estate Agent and Broker Fees Work

    Buying or selling a home? What you need to know about real estate agent and broker fees.
  4. Investing

    6 Steps to Becoming a Real Estate Agent

    Get a head start in the real estate business by following these six steps.
  5. Investing

    6 Steps to Become a Real Estate Agent

    Here, we'll show you the main steps to becoming a successful real estate agent.
  6. 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.
  7. Financial Advisor

    How to Find the Best Life Insurance Agent

    Choosing a life insurance agent is the first and most important step in obtaining coverage. Buyers should pay attention to five key factors.
  8. Small Business

    What are Business Ethics?

    Business ethics is the system of laws and guidelines by which business professionals and corporations operate in a fair, legal and moral fashion. It’s a broad topic, covering everything from ...
  9. Financial Advisor

    Understanding Brokerage Fees

    Agents charge brokerage fees for facilitating transactions between buyers and sellers.
  10. Investing

    Do You Need A Real Estate Agent?

    There's no guarantee that realtors will act in your best interest, but it may be worth hiring one anyway.
Frequently Asked Questions
  1. What's considered to be a good debt-to-income (DTI) ratio?

    Your debt-to-income ratio helps lenders determine your credit worthiness. Find out how to calculate your score and how to ...
  2. What is the difference between a loan and a line of credit?

    Learn to differentiate between lines of credit and standard loans, and determine when you are likely to use each method of ...
  3. What does a Chief Financial Officer (CFO) do?

    A CFO is responsible for accurate reporting of a company's financial information, investing the company's money and identifying ...
  4. How did George Soros break the Bank of England?

    George Soros pocketed $1 billion by betting against the British pound, cementing his reputation as the premier currency speculator ...
Trading Center