Tennessee (TN) SECURITIES AGENT License Learning Course

[Tennessee (TN) SECURITIES AGENT License Learning Course] The Tennessee Securities Agent Course is a six-hour course that will give you the necessary knowledge to be able to sell securities within the state of Tennessee. The course is designed to provide the necessary information needed to help you understand the laws and regulations of the state so that you can be in compliance with them.

The course is designed for individuals who are looking to become licensed as a securities agent in Tennessee, or those who have already been approved by their firm and need to complete their training on-site.

The following topics are covered in this course:

Securities Law in General – Federal and State Regulatory Authority; SEC, NASD, etc.

Prospectus Disclosure Requirements – Wording of Prospectuses; Sample Prospectus; Registration Statement; Disqualification from Registration; Registration of Salespeople; Duties of Registered Representatives; Duties of Brokers; Subsidiary Registrations for Officers and Directors; Insiders Listing Requirements; Market Manipulation Prohibitions; Broker-Dealer Organization Requirements; Brokerage Firm Records Maintenance Requirements; Violations of Laws, Rules or Regulations by Broker-Dealers or Their Representatives; Application Processes for Registration as a Broker-Dealer or Representative License Learning Course is a platform that helps students to study and learn. The platform provides all the required material for the students to study. The material includes Study guide, Exam Questions & Answers, Study Notes and other resources that are useful for the students. It also gives information about the upcoming exams so that students can prepare themselves accordingly.