Series 11
Contents
Demystifying the Series 11 License: What You Need to Know
Understanding the Series 11 License
Delve into the world of the Series 11 license, a securities license issued by FINRA that allowed brokers to handle securities quotations and unsolicited customer orders. Uncover the details of this license, its structure, prohibited activities, and its retirement in 2018.
Insights into Series 11 License
Explore the intricacies of the Series 11 license, its administration by FINRA, and its significance for brokerage sales assistants. Learn about the exam structure, key takeaways, and the transition to other licensing exams post-retirement.
Exploring Prohibited Activities
Gain insights into the activities prohibited for Assistant Representative - Order Processing registrants under the Series 11 license. Understand the limitations imposed on individuals holding this license and the reasons behind such restrictions.
Exam Structure and Content
Uncover the structure and content of the Series 11 exam, including the number of questions, sections, and passing score requirements. Learn about the sections covered in the exam and the importance of staying updated on industry regulations.