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Corporate & Securities Law

: Jim Hamilton's World of Securities Regulation

Missouri Clarifies FINRA Applicable Exam Requirement for Issuer-Agents

By Jim Hamilton

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Issuer-agents offering or selling securities in Missouri must meet a written exam requirement by taking and passing either the Uniform Securities Agent State Law Examination (Series 63) or the Combined State Law examination (Series 66), as well an applicable FINRA exam. There are currently no applicable FINRA exams for issuer-agents to take to satisfy the "applicable FINRA" part of the exam requirement but the Missouri Securities Commissioner cautions that this position could change at any time.

Full post as published by Jim Hamilton's World of Securities Regulation on November 05, 2010 (boomark / email).

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