Anybody Know About Series 55 Exam?

Discussion in 'Professional Trading' started by waggie945, Sep 17, 2002.

  1. MrDinky

    MrDinky

    It might be a firm requirement but it's not an SEC requirement. Either that or there are quite a few firms that are breaking the law.

    :cool:

    P.S. Grammar check - is that supposed to be "an SEC" or "a SEC?"
     
    #11     Sep 23, 2002
  2. mathewt

    mathewt Guest

    It depends on how the firm is registered.

    With some firms you MUST have the series 55 according to the SEC. With others you don't.

    I can remember the exact difference in registeration and standing but I am sure someone will point in out. (e.g. with Schonfeld you don't need it)
     
    #12     Sep 27, 2002