|
執照名稱
|
英文名稱
|
中文譯名
|
Series 3
|
National Commodities Futures |
全國期貨商品經紀人 |
Series 4
|
Options Principal |
選擇權經理人 |
Series 5
|
Interest Rate Options Representative |
利率選擇權經紀人 |
Series 6
|
Investment Company Products/
Variable Contracts |
共同基金與變動年金經紀人 |
Series 7
|
General Securities Registered Representatives |
證券經紀人 |
| Series 11 |
Assistant Representative Order Processing |
助理經紀人 (交易單處理) |
| Series 15 |
Foreign Currency Options Limited Representative |
外幣選擇權經紀人 |
| Series 17 |
Limited Securities Registered Representative |
證券經紀人 (不含共同基金) |
| Series 22 |
Direct Participation Programs (DPPs) |
有限責任合夥投資經紀人 |
| Series 24 |
General Securities Principal |
證券經理人 |
| Series 31 |
Futures Managed Funds |
期貨基金經紀人 |
| Series 42 |
Registered Option Representative |
選擇權經紀人 |
| Series 52 |
MSRB Municipal Securities Representative |
地方政府證券經紀人 |
| Series 55 |
Equity Trader Limited Representative |
證券交易經紀人 |
| Series 53 |
Municipal Securities Principal |
地方政府證券經理人 |
| Series 62 |
Corporate Securities Representative |
公司證券經紀人 |
| Series 63 |
Uniform Securities Agent State Law Examination (USASLE) |
證券經紀人州政府法規考試
(Blue Sky藍天法則) |
| Series 65 |
Uniform Investment Adviser Law Examination |
投資顧問師 |
| Series 66 |
Uniform Combined State Law |
投資顧問暨州法統一考試 |
| Series 72 |
Government Securities Limited Representative |
政府證券經紀人 |
