People who wish to work as a stockbroker in the U.S.A. must take the am is administered by the Financial Industry Regulatory Authority, or FINRA.
Applicants take the exam in two 3-hour sessions. Questions cover the following competencies:
Seeks Business for the Broker-Dealer through Customers and Potential Customers (68 questions)
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Opens Accounts, Transfers Assets, and Maintains Appropriate Account Records (17 questions)
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Obtains and Verifies Customer's Purchase and Sales Instructions, Enters Orders, and Follows Up (58 questions)
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