Registered Representative
A person licensed by the SEC and the NYSE to act as an account executive for clients of brokerages.
注册代理人
证券交易委员会或纽约证券交易所授权为经纪公司的客户提供服务的业务经纪人。
Series 6
The General Securities Registered Representative examination. It is a six-hour multiple-choice test that must be passed by brokers.
Series 6
证券经纪人考试。经纪人必须通过的6小时选择题考试。
Series 3
The Uniform Securities Agent State Law examination. A three-hour multiple-choice test required by most states to be taken by brokers.
Series 3
经纪人州政府法规考试。大多数州要求经纪人通过的3小时选择题考试。
NASD
The National Association of Securities Dealers. The NASD is supervised by the SEC and includes all over the counter dealer firms.
NASD
全美证券交易商协会。NASD受证券交易委员会监督，包括所有场外交易公司。
Broker’s Book
Record kept by an AE of every transaction conducted for his clients. The “book” also contains their personal and financial profile.
经纪人记录簿
记录客户经理为客户进行的每一笔交易的手册。该“手册”还记录他们的个人和财务档案。
Churning
Encouraging or creating transactions in a customer’s account for the purpose of generating commissions.
炒单
在客户账户中多次怂恿或虚设交易以增加佣金。
Crossing (stock)
Encouraging one client to buy while encouraging another to sell the same stock in order to create a transaction.
对敲
怂恿一方客户买入，同时怂恿另一方客户卖出相同股票以虚设交易。
“Burning” a Book
Churning the accounts of customers without profit to the point that they will no longer allow a broker to transact trades for them.
“烧毁”记录簿
多次炒单而没有利润，使得客户不再允许该经纪人为他们操作交易。
责任编辑：mman
