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Registered representative

Registered Representative (RR)
A brokerage firm employee who acts as an account executive for clients. In a full brokerage house, a registered representative solicits clients' business and provides advice on when to buy and sell securities.

Registered Representative
A person employed by, and soliciting business for, a commission house or Futures Commission Merchant.

Registered Representative - A person licensed to sell securities, registered with the SEC or the Commodity Futures Trading Commission, and employed by and soliciting business for a brokerage house or future commission merchant.

REGISTERED REPRESENTATIVE " The man or woman who serves the investor customers of a broker/dealer.

Registered representative
Registered representatives are licensed to act on investors' orders to buy and sell and to provide advice relevant to portfolio transactions.

Registered representative
A person registered with the CFTC who is employed by and solicits business for a commission house or futures commission merchant.

Registered Representative - A stockbroker by any other name. The term comes from the National Association of Securities Dealers, which certifies and regulates brokers and refers to them as registered securities representatives.
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Registered representative. The formal name for a stockbroker, so called because he or she must be registered with the National Association of Securities Dealers as qualified to handle securities trades.

Registered Representative An individual who is licensed to sell securities and has the legal power of an agent, having passed the Series 22, 6 or 7and Series 63 examinations. Usually works for a brokerage licensed by the SEC, NYSE, and NASD.

Registered representative: An employee of a broker/dealer that is a member of the NASD or a stock exchange who is registered with the SEC and performs the duties of an account executive.

Registered representatives are licensed by the Securities and Exchange Commission (SEC) to give investment advice and act on investors' orders to buy and sell.

Registered representatives are licensed to act on investors' orders to buy and sell and to provide advice relevant to portfolio transactions.

See: Registered representative Stock Appreciation Right (SAR)
A contractual right, ...

When a registered representative is licensed with more than one broker, he or she is said to have a dual registration.
Dual-Choice Provision ...

Series 7 The General Securities Registered Representative License, which is required... series bond A single bond issue offered to the public on multiple dates.

Stockbroker See: Registered representative Stock buyback A corporation's purchase of its own outstanding stock, usually in order to raise the company's earnings per share.

registered representative An employee of a brokerage firm who has acquired a background in the securities business, has passed a series of tests, and is licensed by the Securities and Exchange Commission (SEC), the New York Stock Exchange (NYSE), ...

Registered Representative
Registered Retirement Savings Plan
Registered Retirement Savings Plan (RRSP)
Registered Retirement Savings Plan - RRSP
Registered secondary offering
Registered security
Registrar ...

registered representative
Registered Retirement Savings Plan (RRSP)
regular medical expense insurance
regular medical insurance
regulation of insurance companies
regulation of life insurance
regulation Q
rehabilitation
rehabilitation benefit ...

Other variations on the title include registered representative, financial counselor and financial consultant.
Accrued interest.Interest that is due but hasn't yet been paid.

This exam allows the registered representative to sell mutual funds, and with an additional state insurance license to sell variable annuities and variable life insurance.

Registered representative An employee of a NASD member firm who gives advice on which securities to buy and sell and who collects a percentage of the commission income he or she generates.

Registered Representative
Also known as account executive, customers broker, or similar title. Describes people who work in financial markets who have met the particu...(Read more)
Registered Securities ...

Limited partnerships are also sold to investors by brokerage firms, financial planners, and other registered representatives.

There are three types of licenses for individual professionals who typically hold themselves out as Financial advisors: Investment Advisor Representative, Registered Representative (also known as a "Stock Broker"), Insurance Producer.

An account executive that represents a brokerage firm is also called a registered representative. Sometimes an account executive is referred to as a broker.

Registered representative
Registered Representative (RR)
Registered Retirement Income Fund - RRIF
Registered Retirement Savings Plan
Registered Retirement Savings Plan - RRSP
Registered Retirement Savings Plan Contribution - RRSP Contribution ...

This department is responsible for receiving customer orders from a registered representative, transmitting the order to the exchange floor or the firms trading department, ...

A test required in some states for registered representatives who are employees of member firms of the NASD or over-the-counter brokers. Uniform Transfers to Minors Act (UTMA) ...

GROSS PER BROKER - The dollar amount of commissions generated by a broker or registered representative ...
GROSS POSITIVE FAIR VALUE - The sum total of the fair values of contracts where the bank is owed money ...

FLOOR TICKET - Summary of a stock or commodities exchange order ticket by the registered representative...
FLOOR TRADER - Unlike floor brokers who fill client orders, floor traders buy and sell stocks or commod...

In the Unites States, one has to graduate from college and pass the Series 7 Exam, known as the General Securities Registered Representative Examination.

CHURNING " Excessive trading in a customer's account. The term suggests that the registered representative ignores the objective and interests of his client and seeks only to increase his own commissions.

Summary of a stock or commodities exchange order ticket by the registered representative on receipt of a buy or sell order from a client; gives the floor broker the information needed to execute a securities transaction.

Uniform securities agent state law examination
A test required in some states for registered representatives who are employees of member firms of the NASD or over-the-counter brokers.

Employees and possibly individual affiliates of an issuer who are not registered representatives of broker-dealers may be considered "associated persons" for purposes of Rule 3a4-1, ...

Series 7 - Name of the examination given by the National Association of Securities Dealers to license stock brokers (registered representatives).

This person is also known as an Associated Person (AP), Investment Executive (IE), Registered Representative (RR), Registered Customer Support Person or Securities Salesman.

The sell side includes retail brokers, institutional brokers and traders, and research departments. If an institutional portfolio manager changes jobs and becomes a registered representative, he or she has moved from the buy side to the sell side.

In most instances, the spouse that is not the registered representative is treated as a non-employee. In other words, they are not paid a salary, nor are they issued a Form 1099-MISC for their services rendered.

FINRA, which is the successor to the National Association of Securities Dealers (NASD), is a private non-profit organization that creates and enforces rules governing broker-dealers and registered representatives. [1] ...

See also: Banks, Expense, Saving, Values, NASD

Topic: Business