Are there training programs for certifying stock dealers, analysts, etc.? What is the content?
The Securities and Exchange’s role: does it involve testing and certification of dealers, brokers, analysts, etc?
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Sort of. They are some standardized programs for taking the tests, but if a person can pass the tests without the programs, that works also. The SEC administers various tests. Typical ones include the Series 7 and 63 for brokers.