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!
Check
Out/View Cart
|
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.
Check
Out/View Cart
|
|
 Save
$50
Book and CD Final
Exams $200.00
CD is Windows Only!
|
 |
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