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I work in the IS department of a registered broker dealer and am
registered myself. You have to work for a NASDAQ registered firm to be
registered yourself. There are no exceptions that I know of other than a
short (6 months?) period of unemployment when moving between firms.
Ron
UG wrote:
>
> All, I'm a programmer at a firm specializing in financial software.
> Since I'm involved in the online investment side, I'm currently in a
> training class for the Series 7. (And doing well, thank you. ;-) I'm
> taking the class to augment my primarily back-office experience, and
> that we have more people who have a deeper understanding and knowledge
> of the industry in order that we write better and more correct software.
>
> My firm, not being a trading firm, is not NASD registered. As such,
> they cannot sponsor me for the actual Series 7 test.
>
> Would anyone happen to know where I might go about getting a sponsor?
> (Or is that sort of thing even legal?)
>
> I'd very much appreciate any pointers or leads you can pass my way. (in
> private, please; I'm sure no one else much cares about this so no need
> to bore them with it.)
>
> Thanks!
>
> --
> ========================================================================
> Happiness is the planet Earth in your rear view mirror
> http://www.unixgeek.com/cgi-bin/motd.pl - PGP email preferred
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