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Series 14
The Series 14 – NYSE Compliance Official exam is a qualification examination administered to compliance officials at New York Stock Exchange (NYSE) registered broker-dealers. The 110-question test is intended to ensure that individuals designated as having overall day-to-day compliance responsibilities for their firms, or who directly supervise ten or more persons engaged in compliance activity, have the knowledge, skills, and abilities necessary to carry out their job responsibilities. The Series 14 exam was announced on July 29, 1988 and first administered September 25, 1989. NYSE-member organizations were warned of punishment Punishment, commonly, is the imposition of an undesirable or unpleasant outcome upon an individual or group, meted out by an authority—in contexts ranging from child discipline to criminal law—as a deterrent to a particular action or beh ... if they continued operations without a Series 14 qualified compliance official after March 31, 1990. ... [...More Info...] [...Related Items...] OR: [Wikipedia] [Google] [Baidu] |
Exam
An examination (exam or evaluation) or test is an educational assessment intended to measure a test-taker's knowledge, skill, aptitude, physical fitness, or classification in many other topics (e.g., beliefs). A test may be administered verbally, on paper, on a computer-adaptive testing, computer, or in a predetermined area that requires a test taker to demonstrate or perform a set of skills. Tests vary in style, rigor and requirements. There is no general consensus or invariable standard for test formats and difficulty. Often, the format and difficulty of the test is dependent upon the educational philosophy of the instructor, subject matter, class size, policy of the educational institution, and requirements of accreditation or governing bodies. A test may be administered formally or informally. An example of an informal test is a reading test administered by a parent to a child. A formal test might be a final examination administered by a teacher in a classroom or an IQ te ... [...More Info...] [...Related Items...] OR: [Wikipedia] [Google] [Baidu] |
Compliance Officer
The chief compliance officer (CCO) is a corporate executive within the C-suite responsible for overseeing and managing regulatory compliance issues within an organization. The CCO typically reports to the chief executive officer or the chief legal officer. Responsibilities The responsibilities of the chief compliance officer include: *Leading enterprise compliance efforts *Designing and implementing internal controls, policies, and procedures to ensure compliance with applicable local, state, and federal laws and regulations, as well as third-party guidelines *Managing audits and investigations into regulatory and compliance issues *Responding to requests for information from regulatory bodies *Promoting a culture of compliance and ethical behavior within the organization Education and Certification Compliance officers generally have a background in law, finance, or a related field, and often hold advanced degrees such as a Juris Doctor (JD), Master of Business Administration ... [...More Info...] [...Related Items...] OR: [Wikipedia] [Google] [Baidu] |
New York Stock Exchange
The New York Stock Exchange (NYSE, nicknamed "The Big Board") is an American stock exchange in the Financial District, Manhattan, Financial District of Lower Manhattan in New York City. It is the List of stock exchanges, largest stock exchange in the world by market capitalization, exceeding $25 trillion in July 2024. The NYSE is owned by Intercontinental Exchange, an American holding company that it also lists (ticker symbol ICE). Previously, it was part of NYSE Euronext (NYX), which was formed by the NYSE's 2007 merger with Euronext. According to a Gallup, Inc., Gallup poll conducted in 2022, approximately 58% of American adults reported having money invested in the stock market, either through individual stocks, mutual funds, or 401(k), retirement accounts. __FORCETOC__ History The earliest recorded organization of Security (finance), securities trading in New York among brokers directly dealing with each other can be traced to the Buttonwood Agreement. Previously, secu ... [...More Info...] [...Related Items...] OR: [Wikipedia] [Google] [Baidu] |
Broker-dealer
In financial services, a broker-dealer is a natural person, company or other organization that engages in the business of trading securities for its own account or on behalf of its customers. Broker-dealers are at the heart of the securities and derivatives trading process. Although many broker-dealers are "independent" firms solely involved in broker-dealer services, many others are business units or subsidiaries of commercial banks, investment banks or investment companies. When executing trade orders on behalf of a customer, the institution is said to be acting as a broker. When executing trades for its own account, the institution is said to be acting as a dealer. Securities bought from clients or other firms in the capacity of dealer may be sold to clients or other firms acting again in the capacity of dealer, or they may become a part of the firm's holdings. In addition to execution of securities transactions, broker-dealers are also the main sellers and distributors o ... [...More Info...] [...Related Items...] OR: [Wikipedia] [Google] [Baidu] |
Test (assessment)
An examination (exam or evaluation) or test is an educational assessment intended to measure a test-taker's knowledge, skill, aptitude, physical fitness, or classification in many other topics (e.g., beliefs). A test may be administered verbally, on paper, on a computer, or in a predetermined area that requires a test taker to demonstrate or perform a set of skills. Tests vary in style, rigor and requirements. There is no general consensus or invariable standard for test formats and difficulty. Often, the format and difficulty of the test is dependent upon the educational philosophy of the instructor, subject matter, class size, policy of the educational institution, and requirements of accreditation or governing bodies. A test may be administered formally or informally. An example of an informal test is a reading test administered by a parent to a child. A formal test might be a final examination administered by a teacher in a classroom or an IQ test administered by a ... [...More Info...] [...Related Items...] OR: [Wikipedia] [Google] [Baidu] |
Knowledge
Knowledge is an Declarative knowledge, awareness of facts, a Knowledge by acquaintance, familiarity with individuals and situations, or a Procedural knowledge, practical skill. Knowledge of facts, also called propositional knowledge, is often characterized as Truth, true belief that is distinct from opinion or guesswork by virtue of Justification (epistemology), justification. While there is wide agreement among philosophers that propositional knowledge is a form of true belief, many controversies focus on justification. This includes questions like how to understand justification, whether it is needed at all, and whether something else besides it is needed. These controversies intensified in the latter half of the 20th century due to a series of thought experiments called ''Gettier cases'' that provoked alternative definitions. Knowledge can be produced in many ways. The main source of empirical knowledge is perception, which involves the usage of the senses to learn about ... [...More Info...] [...Related Items...] OR: [Wikipedia] [Google] [Baidu] |
NYSE
The New York Stock Exchange (NYSE, nicknamed "The Big Board") is an American stock exchange in the Financial District, Manhattan, Financial District of Lower Manhattan in New York City. It is the List of stock exchanges, largest stock exchange in the world by market capitalization, exceeding $25 trillion in July 2024. The NYSE is owned by Intercontinental Exchange, an American holding company that it also lists (ticker symbol ICE). Previously, it was part of NYSE Euronext (NYX), which was formed by the NYSE's 2007 merger with Euronext. According to a Gallup, Inc., Gallup poll conducted in 2022, approximately 58% of American adults reported having money invested in the stock market, either through individual stocks, mutual funds, or 401(k), retirement accounts. __FORCETOC__ History The earliest recorded organization of Security (finance), securities trading in New York among brokers directly dealing with each other can be traced to the Buttonwood Agreement. Previously, secu ... [...More Info...] [...Related Items...] OR: [Wikipedia] [Google] [Baidu] |
Punishment
Punishment, commonly, is the imposition of an undesirable or unpleasant outcome upon an individual or group, meted out by an authority—in contexts ranging from child discipline to criminal law—as a deterrent to a particular action or behavior that is deemed undesirable. It is, however, possible to distinguish between various different understandings of what punishment is. The reasoning for punishment may be to condition a child to avoid self-endangerment, to impose social conformity (in particular, in the contexts of compulsory education or military discipline), to defend norms, to protect against future harms (in particular, those from violent crime), and to maintain the law—and respect for rule of law—under which the social group is governed. and violates the law or rules by which the group is governed. Punishment may be self-inflicted as with self-flagellation and mortification of the flesh in the religious setting, but is most often a form of socia ... [...More Info...] [...Related Items...] OR: [Wikipedia] [Google] [Baidu] |
Professional Certification In Finance
Following is a partial list of professional certifications in financial services, with an overview of the educational and continuing requirements for each; see and :Professional certification in finance for all articles. As the field of finance has increased in complexity in recent years, the number of available designations has grown, and, correspondingly, some will have more recognition than others.Ernest N. Biktimirov (2012)Global Alphabet Soup: Internationally Recognized Professional Designations in Finance ''Journal of Financial Education'' 38 (3/4), Fall/Winter 2012, 18-32The Rise of the Chief Risk Officer '' |
Standardized Tests In The United States
Standardization (American English) or standardisation (British English) is the process of implementing and developing technical standards based on the consensus of different parties that include firms, users, interest groups, standards organizations and governments. Standardization can help maximize :wikt:compatibility, compatibility, interoperability, safety, repeatability, efficiency, and Quality (business), quality. It can also facilitate a normalization of formerly custom processes. In social sciences, including economics, the idea of ''standardization'' is close to the solution for a coordination problem, a situation in which all parties can realize mutual gains, but only by making mutually consistent decisions. Divergent national standards impose costs on consumers and can be a form of Non-tariff barriers to trade, non-tariff trade barrier. History Early examples Standard weights and measures were developed by the Indus Valley civilization.Iwata, Shigeo (2008), "Weights ... [...More Info...] [...Related Items...] OR: [Wikipedia] [Google] [Baidu] |
