Series 11 Exam | Assistant Representative - Order Processing
The Series 11 "Assistant Representative-Order Processing" category of registration applies to persons associated with a FINRA (NASD) member firm who accept telephone or other communications from the public for the purposes of providing current securities quotations and accepting unsolicited customer orders for submission to the normal order execution operations of the member.
An Assistant Representative-order processing registrant may conduct the above mentioned tasks only on the premises of the member, must be under the direct supervision of a registered principal, and may not receive extra direct or indirect compensation for the number or size of transactions effected. In addition, an Assistant Representative - Order Processing registrant is prohibited from:
- rendering investment advice or opinion
- making recommendations
- effecting transactions in securities markets on behalf of the member firm
- accepting or opening new accounts
- pre-qualifying potential customers
- effecting transactions in municipal securities or direct participation programs
- dually registering as a representative or principal.
No prerequisite $70 test fee (Form U-4) 1 hour time limit
The Series 11 Assistant Representative - Order Processing exam
covers the following topics:
Test Topics
|
Approximate Test Questions |
| Equity, Debt, & Other Types of Securities |
10 |
| Customer Accounts and Orders |
24 |
| Securities Markets |
5 |
| Regulations |
11 |
|
Total 50 questions |
Series 11 Exam Study Text |
STUDY TEXT
$150.00
|
Securities Exam's Series 11 400+ page 3-ring binder study-program is divided into the 4 broad categories of the exam with quizzes every few pages (after a key test topic!).
Eight simulated final exams with detailed explanations complete the program.
Over 600 questions in total! |
Series 11 CD |
CD Final Exams $100.00
CD is Windows Only!
|
The CD contains 300 Final Exam questions and explanations.
This is a single-user CD that expires after a certain time limit. You should take your exam within 120 days of purchasing the materials.
Windows only.
|
 Save
$50
|
Book and CD Final Exams
$200.00
CD is Windows Only!
|
|
Be sure to check out our other products:
|
