|
执照名称
|
英文全称
|
中译名称
|
|
Series 3 |
National
Commodities Futures |
全国期货商品经纪人 |
|
Series 4 |
Options
Principal |
选择权经理人
|
|
Series 5 |
Interest Rate
Options Representative |
利率选择权经纪人 |
|
Series 6 |
Investment
Company Products/Variable Contracts |
共同基金与变动年金经纪人 |
|
Series 7 |
General
Securities Registered Representatives |
证券经纪人
|
|
Series 11 |
Assistant
Representative Order Processing |
助理经纪人
(交易单处理)
|
|
Series 15 |
Foreign Currency
Options Limited Representative |
外币选择权经纪人 |
|
Series 17 |
Limited
Securities Registered Representative |
证券经纪人
(不含共同基金)
|
|
Series 22 |
Direct
Participation Programs (DPPs) |
有限责任合伙投资经纪人 |
|
Series 24 |
General
Securities Principal |
证券经理人
|
|
Series 31 |
Futures Managed
Funds |
期货基金经纪人
|
|
Series 42 |
Registered
Option Representative |
选择权经纪人 |
|
Series 52 |
MSRB Municipal
Securities Representative |
地方政府证券经纪人 |
|
Series 55 |
Equity Trader
Limited Representative |
证券交易经纪人
|
|
Series 53 |
Municipal
Securities Principal |
地方政府证券经理人 |
|
Series 62 |
Corporate
Securities Representative |
公司证券经纪人 |
|
Series 63 |
Uniform
Securities Agent State Law Examination |
证券经纪人州政府法规考试 |
|
Series 65 |
Uniform
Investment Adviser Law Examination |
投资顾问师 |
|
Series 66 |
Uniform Combined
State Law |
投资顾问暨州法统一考试 |
|
Series 72 |
Government
Securities Limited Representative |
政府证券经纪人 |
